acrp - 3 rd call

ACRP - 3rd Call Cl imat e and En ergy Fun d of t he Fe deral S t at e – mana ged by Kommunalkr edi t P ubl i c Co ns ul t i ng GmbH

Form Part A 1 to be submitted in English language.

Form Part A 1 Version 1.0 – June 2010 Project title: Integrated Assessment of Potential and Options to Reduce

Emissions from Deforestation and Forest Degradation

Project acronym: iREDD+

Mandatory registration number at Climate and Energy Fund:

K10AC1K00060

Applicant: Institute of Forest, Environmental, and Natural Resource Policy- University of Natural Resources and Life Sciences, Vienna, (BOKU)

Project partner: Institute for Transport Studies – BOKU Centre of Global Change – BOKU Austrian Federal Forests (ÖBf) National University of Agriculture, Nicaragua

Thematic field: Thematic Area 1: Responding to Austria’s Policy Community

Thematic Area 2: Understanding the Climate System and Consequences of Climate Change

Thematic Area 3: The Economics of Climate Change

X Thematic Area 4: The Political, Cultural and Social Dimensions of Climate Change

Thematic Area 5: Reshaping Science and Governance in the Post-Copenhagen Environment

Description of costs: Total costs [EUR]: 300.435

Requested funding [EUR]: 278.514

Declaration The applicant has submitted a proposal at the x 1st Call of the ACRP (Project Number(s): K09AC0K00032 x 2nd Call of the ACRP (Project Number(s): K10AC0K00054

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SYNOPSIS: REDD+ is a CO2 reduction option for Austria tha t runs the risk of not reaching its Kyoto protocol

targets. Little research has been done in Austria about the opportunities and pitfalls of REDD+ mechanism. The aim of this project is to ca rry out an integrated assessment of the possibilities of REDD+ to reduce deforestation and forest degradation in Nicaragua (the country with the highest deforestation rates of Austrian development cooperation partner countries). Factors affecting the decisions made by local land‐users are identif ied and the potential and cost of avoided ca rbon

emissions estimated through the employment of a multi‐agent based choice model. The model will provide the price elasticities for each deforestation agent and choice situa tion (deforestation and carbon enhancement). These elasticities show agent´s probability of avoiding deforestation (or engaging in carbon enhancement) in dependence of the amount of REDD+ finance and estimates the potential and cost of saving CO2 via REDD+ projects.

Keywords: Socio economic analysis of REDD+ Potential/ cost of avoided deforestation Deforestation/degradation drivers Assessment of land-use options for avoiding deforestation Modelling opportunity costs for forest protection Agent-based choice model Environmental values and attitudes

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1 Aims and Methodology ............................................................................................................................. 4

1.1 Technical and Scientific Content, Objectives and applied Methodology of the Project ............................. 4 1.2 Quality of Planning........................................................................................................................... 15

2 Suitability of Funding Applicants /Project Partners .................................................................................... 31 2.1 Overview......................................................................................................................................... 31 2.2 Project Partners............................................................................................................................... 34 A) The Institute of Forest, Environment and Resource Policy (InFER) ............................................................ 34 B) Institute for Transport Studies at BOKU (BOKU-ITS) ................................................................................ 36 C) Center for Global Change and Sustainability (BOKU-ZGWN) .................................................................... 38 D) Austrian Federal Forests Consulting (ÖBf AG) ......................................................................................... 39 E) National Agrarian University (UNA), Nicaragua......................................................................................... 40 Subcontractors ........................................................................................................................................... 42 2.3 Consortium and Management........................................................................................................... 43

3 Dissemination and Economic Potential .................................................................................................... 46 3.1 Expected publications ...................................................................................................................... 46 3.2 Expected resulting data sets and / or tools......................................................................................... 47 3.3 Contribution to the Objectives of the Programme and user value......................................................... 47

4 Annex .................................................................................................................................................... 49 Essential literature .......................................................................................................................................... 49 CVs of the applicants ...................................................................................................................................... 51 5 Information on Exclusion of Evaluators .................................................................................................... 58

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1 Aims and Methodology

1.1 Technical and Scientific Content, Objectives and applied Methodology of the Project

1.1.1. Project objectives and their innovation content

Problem statement:

Deforestation is one of the main factors that contribute to global climate change. Deforestation largely takes place in tropical developing countries, such as, Nicaragua. Presently, tropical forests are being converted at a rate of 5.6-12 Million hectares per year (Strassburg et al. 2008) and global deforestation accounts for as much as 17% of global Greenhouse Gas (GHG) Emissions (van der Werf et al. 2009). The European Union consequently plans to minimize deforestation by 50% in 2020 and to stop deforestation by 2030 (EC Communication 2008). Avoiding deforestation in developing countries contributes to mitigation of GHG emissions and forestry climate reduction measures are cheaper than technical Emission reduction measures (Stern, 2007).

Within this context, the REDD+ mechanism (Reducing Emissions from Deforestation and Forest Degradation and the enhancement of carbon stocks) promises to be a major instrument to mitigate climate change through the reduction of greenhouse gas emissions in developing countries. REDD+ provide industrialised countries and companies the possibility to offset carbon emissions, as well as, transferring money towards forest protection and development in poor regions. REDD+ is thus a market-based mechanism that provides financial incentives to the people that have power over forest resources in developing countries so that forests are conserved (REDD), or so that carbon stocks of those forests are enhanced (REDD+).

Since the emergence of the REDD+ mechanism at the United Nations Framework Convention on Climate Change (UNFCCC) Conference of Parties in Bali in 2007, the development of REDD+ has primarily been concentrated on financial and technical issues. A large number of deforestation models have been applied to estimate deforestation rates and potentials of reducing emissions from reduced deforestation. These models assess the impact of REDD+ activities, including the opportunity costs for avoided the emissions. Opportunity costs, however, only represent one type of factors. A deep understanding of institutional, political, environmental, economic, social and cultural factors is key for forest protection and helps to avoid long-term deforestation. As noted by Duvel & Stephanu (2000), social factors can in fact exceed in importance and impact in comparison to economic factors. This is also supported by NGOs that are currently developing safeguard standards to include political-institutional and social-cultural factors that influence the decisions and actions of local, regional and national actors with regard to land-use and a possible renouncement of deforestation and forest degradation. In effect, policy failures may affect the successful implementation of REDD+ and indirectly foster deforestation (e.g. promoting agriculture) in the case that forest protection policies are not effectively implemented (Butler and Laurance, 2009; Dove, 1993; Ribeiro, 2009). Property rights and tenure arrangements are poorly defined in many developing countries. Projects supporting and building from local environmental values, institutions and rules can increase effectiveness of REDD+ projects. Financial incentives for managing tropical forests with REDD+ must be comparable to incentives from other land use options, otherwise, the clearing of natural forests for land use with high financial incentives cannot be avoided (Sasaki and Yoshimoto, 2010; Chomitz, 2007; Butler and Laurance, 2009).

With this in mind, a model integrating these relevant factors would be of high interest to post-Kyoto policy makers, as well as, REDD+ project developers. A knowledge of socio-cultural and political-

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institutional factors in REDD project areas could assist decision-makers (in Austria and the European Union) and project developers in the selection of sites with the greatest chances of success in terms of attaining efficient and long term reduction of emissions.

Austria has access to extensive capacities and knowledge regarding sustainable forest management, but this knowledge has until now only been marginally unlocked to support the development of the REDD mechanism and projects. Nicaragua represents the only country in which the Austrian Development Agency (ADA) has implemented forest protection projects. In the “Strategic Guidelines for Environment and Climate” of the Austrian Development Agency, REDD+ and Nicaragua are cited as priority areas for Austrian Development Cooperation.

Study area:

Among all partner countries of the ADA, Nicaragua faces the most significant deforestation rates (Parker et al. 2008). For Nicaragua, the REDDiness-Project Idea Note (R-PIN1) (see Forest Carbon Partnership Facility webpage) estimates that of the 5.6 million hectares of forest, approximately half (2.8 million hectares) is suitable for productive forest management purposes, while the remaining half is largely incorporated into the National System of Protected Areas (1.9 million hectares). In the areas of productive forests it is estimated that only 4% are currently under Sustainable Forest Management schemes (124,000 hectares), while the remaining 96% is subject to a gradual degradation process, rudimentary extractive uses or unsustainable change of use. During the period from 1983 to 2000, the estimated rate of deforestation in the country was 1.16% per year (Figure 1). The largest deforestation occurring in agricultural areas in the central and Caribbean regions. In the Pacific region, deforestation and degradation affects between 30% and 80% of forest ecosystems, primarily due to the expansion of agricultural areas, firewood (subsistence) and timber extraction. The main deforestation driver in Nicaragua is the expansion of the agricultural border with an annual rate around 70,000 and 100,000 hectares. The second National Inventory of Greenhouse Gases (2000) confirms that a very strong deforestation trend was observed in the Land use, land-use change and forestry (LULUCF) sector. In fact, the sector developed from a CO2 Sink in 1994 (net absorption of -12,055 Gg) to a source in 2000 of 45,380 Gg., despite numerous policy initiatives and consultation processes for sustainable forest use and rural development (e.g. PRORURAL) aimed at reducing deforestation.

Figure 1. Deforestation 1990-2000 1 The R-Preparation Proposal is expected for March 2011.

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During the last few decades, the factors underlying deforestation has principally been an economic development model oriented towards cash crop monocultures, such as, cotton in the Pacific region and coffee in the central region, as well as, programmes promoting other agricultural activities, such as, the cultivation of basic grains and ranching. Illegal logging by international timber companies is further a major cause of deforestation and forest degradation. Studies by the World Bank indicate that the illegal felling of timber varies from around the 30,000-35,000m³ of hardwood timber and up to 135,000m³ of coniferous woods.

The case of Nicaragua clearly illustrates the potential and risks of REDD+ activities for reducing deforestation and contributing towards sustainable rural development in developing countries. It also demonstrates that the effective implementation of REDD activities require an integrated assessment of political-institutional, environmental, economic and social-cultural factors in order to assess the realistic potential of REDD to design effective implementation structures. The “Integrated Assessment of Potential and Options to Reduce Emissions from Deforestation and Forest Degradation” (iREDD+) project aim to address these key issues.

Objectives:

The primary objective of iREDD+ is to perform an integrated assessment of the REDD+ mechanism and its potential to reduce deforestation in Nicaragua. For this purpose, the project will assess the emission reduction potential of a range of land-use options and develop concrete implementation options using participatory processes.

The specific objectives are

1. to understand political-institutional, environmental, economic and social-cultural factors on local, sub-national, national and international levels that have an impact on land-use in Nicaragua;

2. to estimate the potential and cost of avoiding carbon emissions for different land-use options on the basis of a multi-agent choice model which considers contextual and choice-specific opportunity costs and benefits of the land-users, and

3. to develop, on the basis of the qualitative understanding of relevant factors and the quantitative estimation of the emission reduction potential of the different land-use options, specific implementation strategies and recommendations for the REDD process.

Results will address stakeholder groups on local, regional, national and supra-national levels, including public and private actors in developing countries and Austria/EU.

Conceptual approach:

The project is divided into three main phases (see Figure 2). These include:

1. An integrated analysis of REDD+ framework implies a comprehensive qualitative analysis of the political-institutional, environmental, economic and social-cultural factors on local, sub-national, national and international levels that would have an impact on the implementation of REDD+ activities. These include the institutional set-up of the REDD+ mechanism, political factors and stakeholder preferences in the buyer and host countries, governance structures on all administrative levels, the ecological potential of targeted ecosystems, micro- and macro-economic factors, interests, perceptions and attitudes of stakeholders, as well as, problem situations of local communities and land-users (including income patterns, family structures, and environment-related value-systems). The analysis will describe all relevant stakeholders in detail and the relevant deforestation patterns, such

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as, logging, cash-crop farming, etc. This analysis corresponds to Work Package 1 (WP1) and

feeds into the choice model and the design of possible REDD+ implementation structures.

2. A multi-agent choice model that results from a quantitative estimation of the potential and

cost of avoided carbon emissions for different land-use options considering context and

choice-specific opportunity costs and benefits of the different agents. A stated preference

survey will consider agents who decide on land-uses (small and big farmers, loggers, etc.)

and their realistic land-use options (different forest management systems and alternative

uses such as agroforestry, farming, etc.). For all agents, price elasticity for avoiding

deforestation or engaging in forest enhancement will be calculated according to their

subjective rationales.

3. A participatory analysis of options, scenarios and strategies to evaluate the model

results. The results from the multi-agent choice model will be discussed with stakeholders so

as to gather feedback, improve the model and provide recommendations to the REDD policy

process. The project aim to derive options and strategies for public and private user groups

at different levels (local, sub-national, national and international) in Nicaragua, Austria and

the EU.

Figure 2. Conceptual approach of the project

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Improvement of existing solutions and innovativeness

The ambition of iREDD+ is to assess the REDD+ mechanism in a comprehensive way by considering all relevant factors ranging from the ecological, economic, political-institutional and socio-cultural spheres and with a view to develop feasible implementation options with local stakeholders. For this purpose, (a) an interdisciplinary approach is applied to consider the ecological and socio-economic factors that influence the utilisation of forest resources. Up to this point, this dimension has to a large extent been neglected in the development of REDD+; and (b) the participatory evaluation of model results aim to increase the validity of the research findings. The challenge to move from sole forest protection aims to a realistic model of sustainable forest management is captured in the theoretical-methodological approach. The inter- and transdisciplinary quality of the project promises to advance science in improving our understanding of deforestation processes and realistic solutions to reach sustainable land-use practices, related to REDD+ and to the governance of natural resources in developing countries in general.

A special focus resides on the empirical modelling of subjective opportunity costs and benefits of all relevant agents for a range of different land-use options. While standard models operate under the assumption of the rational decision-maker and considers national or supra-national levels, the iREDD model focus on the subjective rationales of all relevant groups of agents that decide on the use of land at a local level. The modelling of multiple decision-makers based on empirical findings at a local level represents a significant advancement in deforestation modelling and could be utilised in future research and for informing political decision makers.

In practical terms, the project furthermore goes beyond the state-of-art by including a range of specified land-use options that have different effects on carbon emissions. Besides deforestation scenarios, the novelty of the suggested approach is that it will also consider forest enhancement. This feature has only recently been included in the political debate and for which assessment methods are still under development.

On the whole, the project aim to increase the knowledge of ecological, economic, socio-cultural and political-institutional deforestation factors in Nicaragua. This knowledge shall support the political debate on the design and implementation options of REDD+ and the Austrian Development Cooperation and private companies which shall be enabled to start REDD+ projects in Nicaragua. The project contributes to advance the discussion dealing with a post Kyoto regime and with the role of REDD+ on climate policy negotiations (Error! Reference source not found.).

State-of-the-art Innovative features of iREDD+

REDD+ Studies and guidelines for the REDD+ mechanism concentrate largely on financial and methodological questions .

Inter- and transdisciplinary s tudy of socio-cultural and political-institutional deforestation drivers and the potential and options of the REDD+ mechanism.

Deforestation +

enhancement

Good literature is available for modelling and assessing deforestation, but not yet for the new feature on forest enhancement.

The project includes land-use options oriented towards fores t enhancement and contributes to the further development of related assessment methods .

Forest protection

vs. forest use

Concepts and s tudies focus on forest protection aims without considering local populations and models of sustainable use.

The projects employs a co-evolution perspec tive and considers realistic options for land use by the local people.

Integrated assessment

Exis ting defores tation models focus on ecological and economic aspects , and either

The project cons iders ecological, economic , political and social factors

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use quantitative or qualitative analyses . and combines quantitative and qualitative methods .

Empirical modelling approach

Current models focus on rationalistic opportunity costs, single abstract agents and on national or supra-national levels.

Sugges ted model uses empirically generated subjec tive rationales of all relevant groups of agents that decide on the use of land on local level.

Scientif ic community in

Austria

Currently the are only few research institutions contributing to REDD+ research, with focus on technical questions .

Building up interdisciplinary, political-institutional and soc ial-cultural scientific knowledge for REDD+ in Austria.

Policy guidance

Despite strong knowledge of sustainable forest management in Austria, Aus trian government hardly engages in fores t related development cooperation.

Building up expertise in the Aus trian development cooperation community and in a partner country, as well as strengthening Austria’s position in the policy debate on global and EU levels .

Table 1: Going beyond the state-of-the-art – a summary

Uncertainties (risks for the project and how they are addressed in the project)

The principal risks for the suggested project relate to the main ambition and challenges inherent in the inter- and trans-disciplinary assessment of different factors and implementation options of REDD+. In addition, the intercultural research context characterizes another specific challenge which is addressed in the project design. These uncertainties may have some implications at the following levels:

Theory: The challenge is on how to include factors from ecological, economic, political and social spheres into the analysis? The project does not strive for one integrated theory and model which would be too ambitious and prone to fail. Instead, two main theoretical approaches are employed which are connected through a co-evolution framework (Burkhard and Fremerey 2008) and the four dimensional framework of sustainable development by Spangenberg (2007): a systemic policy-analysis approach as well as an agent-based choice approach. All factors are considered in both approaches in appropriate ways. The policy-analysis includes institutional factors and actors’ values and interests (actor-centred institutionalism (Scharpf 1997)) and considers ecological and economic factors as external constraints. In the choice model, all factors are translated into real subjective choice options that lead to agent-specific price elasticities. The development of implementation options and strategies is furthermore informed by implementation studies (Pülzl and Treib 2007) as well as innovation system research (Rametsteiner et al. 2005) that are compatible with the policy analysis approach. An important feature for the modelling of options and development of strategies in a different cultural context is the inclusion of a local university partner.

Data collection: Data collection is guided by experienced social science researchers, and done in cooperation with a local partner. Methods from empirical social science research are employed and experiences from intercultural research methods (such as participatory rural appraisal) are considered. Quality is ensured by training sessions before and supervision throughout the data collection. The parallel application of qualitative and quantitative methods allows for triangulation of data.

Project management: The coordination of an interdisciplinary, transdisciplinary, multi-institutional and international research project face specific challenges which – in the broadest sense – lie in the communication and translation between different disciplines, scientific concepts, languages and cultures. These issues will be addressed by generating an awareness in the research group for these challenges, allocating sufficient time and resources to the communication between partners, employing personnel with relevant research experiences, and employing methods of intercultural as well as inter- and trans-disciplinary cooperation management (Schophaus et al. 2004). The project

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management will ensure the exchange of views among partners throughout the project cycle, ensuring that all disciplines are involved in the development of the conceptual framework, models, research guidelines and conclusions.

Uncertainties further lie in the practical use of the project results. This as it is still, to date, an open question as to how the REDD+ mechanism will be implemented in Nicaragua (at a local, sub-national or national level), whether the REDD+ mechanism will be included in a post-Kyoto regime, and how the Austrian position towards REDD+ will be in a post-Kyoto regime. The project therefore aims to include these open questions as input variables in the model, by which the project may provide valuable information for decision makers.

Research questions:

The guiding research questions in the three main project segments are as follows:

1. Which political-institutional, environmental, economic and social-cultural factors impact decisions of land-users on local, sub-national, national and international levels have an impact on carbon emissions?

2. What are the potential costs and benefits of reducing carbon emissions through REDD+ projects in Nicaragua, related to different land-use options?

3. What options exist for the implementation of Austrian REDD+ projects in Nicaragua, and which implementation strategies can be formulated for different land-use options?

Anticipated results:

iREDD+ will perform a comprehensive analysis of deforestation drivers in Nicaragua, considering political-institutional, economic, ecological and socio-cultural deforestation factors. Thus, the project aspires to advance scientific knowledge and to provide valuable knowledge for political decision makers. Results will further be communicated to stakeholders within the project and will be published for scientific and practice audiences through websites and peer-reviewed journals.

iREDD+ aim to develop a new empirical, locally and agent-based model for concrete land-use options that will cover deforestation as well as forest enhancement. The results generated by this type of model are valuable for decision makers on a national and international level, as well as, for further scientific research. The model results are particularly relevant for the continued development of the REDD+ framework as it includes the issue of forest enhancement. Additionally, the results could be utilised for further development of scientific models related to deforestation and climate change impacts.

iREDD+ will enable the participatory evaluation of options, scenarios provided by the multi-agent choice model and provide the basis for recommendations to policy makers and development of strategies for the implementation of Austrian-Nicaraguan REDD+ projects.

1.1.2. Methodology

As illustrated in the conceptual framework (see Figure 3), there are three methodological steps:

1. Integrated analysis of the REDD+ framework (WP 1): Literature reviews, document analyses, exploratory surveys and key informant interviews will be the basis for the identification of agents, reasons and existing options regarding land-use, main factors affecting the selection of options. The analysis will provide results for the model development and for the implementation analysis.

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2. Multi-agent choice model (WPs 2-4): The factors that influence REDD+ implementation will be identified (WP 2), the model developed and factors quantified (WP 3) and scenarios analysed (WP 4). The model aims at a quantitative estimation of the potential and cost of avoided carbon emissions for different land-use options, employing a discrete choice modelling method. The model includes the modelling of the international carbon market as well as the relevant institutional and economic framework conditions. The data collection uses mixed methods with open and standardised questions for the choice experiments. Furthermore, the carbon sinks/emissions for each land-use option need to be quantified. The model will be able to assess the reduced carbon emission potential of different land-use options, depending on the price and various accompanying requirements from the REDD+ mechanism and on different institutional implementation options.

3. A participatory evaluation of options, scenarios (WPs 5-6): The model results will be tested through stakeholder feedback rounds using multi-stakeholder processes. This will include stakeholder consultation workshops for the analysis of model results as well as the participatory analysis of options, scenarios and strategies (WP 5). Finally, implementation options and strategies for different deforestation situations and land-use alternatives will be developed, addressed to different public and private stakeholder groups on local, national and international levels in the buyer and host countries (WP 6).

Figure 3. Multi-agent choice model of deforestation and forest enhancement

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Deforestation modelling is a well developed field of research in which many approaches are used with specific strengths and limitations (Kaimowitz and Angelsen, 1998). The scope ranges from household and firm-level models to the national and international levels, from descriptive to simulation models, and from non-spatial to spatial models. In the REDD+ mechanism, deforestation baseline rates are modelled that would take place in the absence of policies to protect forests (Gibbs et al., 2007; Angelsen, 2008). Typical examples are spatial models at the national level (Mladenoff, 2004; Linkie, Smith and Leader-Williams, 2004; and Brown et al. 2007). They often use satellite data and Geographic Information Systems (GIS) to describe and predict deforestation.

The principal modelling question for iREDD relates to the basic approach of possible REDD+ projects, namely, to influence the behaviour of land-users towards carbon saving use options. This question suggests an agent-based approach. Accordingly, iREDD define agents as those who have overran impact on forest resources for specific parcels. They may be households, small or large farmers, logging companies or governments. Each agent has a specific subjective rationale that determine their reaction to a given REDD+ incentive.

The emphasis on subjective factors suggests an empirical survey to provide the data for the model. Empirical models are relatively rare as they require skilled surveyors and time-consuming data collection. Nonetheless, some empirical studies are still available in the field of deforestation (Bluffstone, 1998; Godoy et al. 2000; Godoy, Kirby and Wilkie, 2001; Fisher, Shively and Buccola, 2005 and Dayal, 2006). These studies are very specific and different in terms of location, survey methods, and focus, but most studies are dealing with (indigenous) households at the margin, with a focus on employment, time preferences, and reactions to interventions. While none of the given studies exactly serves the requirements of iREDD+ (e.g. to estimate the effect of REDD+ incentives on the choices of the relevant agents in Nicaragua), past experiences can inform data collection and modelling in iREDD+.

Figure 3 illustrate a conceptual flow chart of the empirical model to be developed in TREDD. It includes the relevant agents and two important choice situations: deforestation and forest enhancement. Both situations include a range of land-use alternatives with gradually changing impacts on carbon emissions. In a choice situation, a particular agent is exposed to a particular set of options. The agent's choice is determined by the specific cost and benefits related to each option, which are in turn derived from the agent's subjective rationale. They depend on multiple economic, political, social and cultural factors (e.g. alternative income sources, family structures, education, infrastructure and personal value systems).

The input factors (see Figure 3) can be arranged in four groups: the carbon market demand, institutional factors, other contextual factors and alternative specific factors. The first includes amount and price for traded carbon and the related conditions under REDD+. Current prices of CO2 in the voluntary REDD+ market are around 5 € per ton (World Bank estimation). If the REDD+ market is merged with the European certificate trading market as currently planned between 2015 and 2020, the price would reflect the EU-ETS carbon price. In the MACZE2 project (funded by the Austrian Climate Change and Energy Fund) a certificate market trading model was developed which will be used in iREDD+.

The institutional factors include framework conditions for REDD+ projects, such as, approved methods for carbon calculation, buyers preferences or the REDDiness of the host country (approved institutional capacities to participate in REDD+ projects).

Other contextual factors are manifold, such as, the national economic performance, population, labour market, prices of timber and agricultural products. These factors have in common that they are not related to a particular option and do not vary with the choices made. They affect the choice

2 "Möglichkeiten und Auswirkungen eines EU-weiten CO2-Zertifikathandels für den Straßenverkehr in Österreich" [Potentials and Impatcs of an EU-wide CO2-Certificate Trading Scheme for the Road Traffic in Austria]

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either directly or mediated through the option specific factors. An example for a direct effect may be growing population, which immediately increases the pressure on the forest. An increasing wage rate will rather take effect indirectly. It increases the cost of forest extraction but also of alternative options. Their possible effects have to be assessed empirically.

The fourth group consists of option specific factors, such as, the opportunity costs and benefits thats are related to each option from the agent's point of view. Protecting the forest entails particular costs and benefits. Clearing the forest for logging or farming entails other costs and benefits. Since the agent can only chose one option, s/he has to give up the benefits of the remaining options, which constitute the opportunity costs. The subjective choice incorporates all relevant economic and non-economic factors.

The primary output of the model is a set of price elasticities. Each agent and choice option are characterised by specific elasticities. They indicate the agent's probability of avoiding deforestation (or engaging in forest enhancement) related to the level, amount and conditions of REDD+ money offered. The price elasticities in turn serve to estimate the potential and cost of saving CO2 via REDD+ by means of an extrapolation of results to provincial and national level.

The model enables the prediction of effects that can be achieved with REDD+ under given circumstances and defined scenarios. Scenarios are characterised by a range of influencing factors (e.g. CO2 price 7.50 €/ton; economic growth 2 % p.a.). The range of scenarios to be considered has to be defined prior to the stated preference survey in WP2.

The integrated analysis of REDD+ in Nicaragua and on an international level will employ policy analysis approaches that analyse institutional frameworks and actors’ value-systems, perceptions, interests and behaviour (Scharpf, 1997). The project will analyse the international institutional framework for REDD+ and demand stakeholder preferences at an international level and in the buyer country. It will further map stakeholders of the REDD+ mechanism in Nicaragua and analyse political-institutional, environmental, economic and social-cultural deforestation drivers in Nicaragua and governance structures for forest use and for a possible REDD+ implementation on national, sub-national and local levels so as to better understand the deforestation processes.

Policy options and implementation strategies for REDD+ will build on an analysis of governance structures in forest protection taking into consideration different stakeholders’ interests and value systems. Systemic approaches of innovation system research and innovation governance which consider institutional framework conditions and actors’ behaviour in the analysis and recommendations (Rametsteiner et al. 2005; Weiss and Rametsteiner 2005; Weiss et al. 2010) represent the theoretical basis for deriving implementation strategies.

1.1.3. Links

The Institute of Forest, Environmental and Natural Resource Policy (InFER), at the University of Natural Resources and Life Sciences, Vienna (BOKU), has a strong research link with the European Forest Institute (EFI) through the European Forest Institute Central-East European Regional Office (EFICEEC) which is hosted by BOKU. EFI provides a strong policy analysis group on the Forest Law Enforcement, Governance and Trade (FLEGT) to the European Commission. EFICEEC links have been fostered through chairing the COST Action E51 on innovations (e.g. market based instruments (MBI)) in forestry (e.g. Prof. B. Slee, Macaulay Inst., UK; Prof. D. Pettenella, Univ. Padua, IT, Prof. G. Buttoud, Univ. Tuscia, IT), as well as through the ERA-net BiodivERsA cooperation on MBI (G. Winkel, Univ. Freiburg, DE). EFICEEC further has an institutionalised cooperation with IIASA, Laxenburg, AT, which is one of the worlds leading institutes on land-use modelling. All these institutes are active in scientific policy advice on EU and international level (e.g. for FAO, UNFF, UNFCCC). They are further relevant for Austria in order to provide substantiated information on options in climate change policy, CMD and REDD.

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The Institute for Transport Studies (Boku-ITS) of the Department for Spatial, Landscape and Infrastructure Science at BOKU (in cooperation with the Institute for Regional Development and Environment of the Department of Social Sciences at the Vienna University of Economics and Business) implemented the MACZE project which represent one of the precursor project for iREDD. The project addressed potentials, risks and effects CO2-certificate trading might have upon road transport. In focus were the effects on the reduction of GHG and the impacts on travel demand, modal split, and car mileage as well as car ownership. This multi-agent choice model represent the main link between BOKU-ITS and iREDD. The project was funded by the Climate and Energy Funds of the Austrian federal government.

1.1.4. Description of pre-projects

Climate change policy issues, forest policy and MBI for forest ecosystem services have been studied from various perspectives by the participating partners. They provide relevant and important knowledge for the realisation of an assessment of REDD+ implementation options, particularly in terms of the innovative combination of a qualitative analysis with the proposed multi-agent choice model. The choice model itself will be based on the MACZE model developed by BOKU-ITS in a prior ACRP project. Several studies and consultancy projects on REDD and Clean Development Mechanisms (CDM) have been carried out by ÖBf AG in Indonesia, Laos and Ethiopia, a knowledge-base that will be utilised for the carbon emission calculation.

1.1.5. Applicability and use

The assessment of REDD+ implementation options not only advance scientific knowledge but would be valuable for a range of different user groups:

1. REDD+ projects already provide limited opportunities for governments and private companies to improve their carbon emission balance and reach emission goals. Depending on the ongoing political deliberations, these may become very important in future, for both Austrian government and companies.

2. REDD+ projects provide strong opportunities for Austrian Development Cooperation activities, related to sustainable land-use practices and poverty alleviation.

3. Austrian companies which have a strong expertise in sustainable forest management may be active in implementing REDD projects in developing countries as a new business field.

4. Nicaraguan actors may directly use the project results: policy-makers, land-users, potential implementing agencies, land owners and environmental protection interest groups.

5. The Austrian scientific community in the field of climate change research and sustainable land-use may benefit from the increased expertise through their participation and future cooperation.

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1.2 Quality of Planning

1.2.1 Description of Work Packages and the Work Plan and Schedule

A. Overview

WP no.

Title Work Package (WP)

Duration (months)

1 Analysis of REDD+ framework and deforestation processes in Nicaragua

9

2 Integrated assessment of deforestation drivers and assessment of REDD f inancial benef its

11.5

3 Quantif ication of deforestation inf luencing factors 11

4 Internal Analysis of Scenarios and Measures 11.5

5 Stakeholder consultation 7.5

6 Developing measures and strategies to implement REDD+ 10

7 Project Management, dissemination and networking 30 Table 2: Description of the Work Packages

WP no. Personnel costs incl. overhead rate

RTD investments (depreciation)

Travel costs

Costs of materials

Third party costs

Total costs

1 46.436 5.000 417 3.500 55.353

2 77.504 7.019 84.523

3 20.926 2.500 23.426

4 27.596 27.596

5 32.807 3.800 250 36.857

6 29.244 7.100 36.344

7 36.336 6000 36.336

Total 264.432 28.919 1.084 6.000 278.514

Table 3: The cost categories

B. Project Workflow Plan (PWP) – Gantt Diagram:

C. Detailed Description of Individual Work Packages (WPs)

WP no. 1 Analysis of REDD+ framework and deforestation processes in Nicaragua

Starts: 03/11 Ends: 11/11

Total costs of the WP (EUR): 55.353

Work Package Leader (organisation’s name): BOKU – InFER

Name of participating institute or enterprise

Share of total costs of the WP (euro)

Brief qualitative description of costs

BOKU - InFER 29.292 Personnel costs, expert interviews, travel costs, WS (NI)

BOKU - ITS 15.285 Personnel costs, subcontract costs

BOKU - ZGWN 1.354 Personnel costs

ÖBf AG 3.072 Personnel costs

UNA 6.350 Personnel costs, WS

Objectives of the WP: 1) To analyse the REDD+ framework on international level and for Nicaragua 2) To analyse deforestation processes in Nicaragua 3) To develop the detailed analytical framework of the project, methods and to

select case study regions

Content and description:

Task 1.1 Integrated analysis of REDD+ on international level and in Nicaragua

Literature review on deforestation and on REDD+ Analyse the international institutional framework for REDD+ incl. the description of

political fora, positions of actors, and proposed guidelines and conditions Demand side stakeholder preferences on international level and in the buyer

country (Austria) Institutional analysis for a possible implementation of REDD+ in Nicaragua,

including national, sub-national and local levels Stakeholder mapping and analysis of the REDD+ mechanism in Nicaragua to

identify crucial players and their positions reg. REDD+ implementation Identify progress of REDD+ programmes such as FCPF activities and pilot projects

in the country.

Task 1.2 Integrated analysis of deforestation processes in Nicaragua

Analysis of political-institutional, environmental, economic and social-cultural deforestation drivers in Nicaragua

Governance structures for forest use and for a possible REDD+ implementation on national, sub-national and local levels

Characterisation of existing land-use management systems: land ownership and use structure, types of uses and management of land, deforestation baseline. This includes the assessment of regional differences, with a view to selecting research sites

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Task 1.3 Analytical framework and project methodology

Development of the specific analytical framework for the deforestation modelling in WPs 2-4

Defining requirements to set up the model in WPs 2-4 Pre-assessment of the deforestation and CO2 baseline for the different

deforestation processes in Nicaragua, as to stratify the data collection work for the modelling in WP2 and preparation for WP 4

Selection and description of case study areas

Methodology (e.g. interviews, literature research): Content and description:

Literature review and web-search for update acc. to state-of-the-art Policy-Analysis in tasks 1.1 and 1.2 (institutional analysis, stakeholder analysis)

through: desk research, secondary data analysis, document analysis, expert and stakeholder interviews on international level (international organisations and EU), national (AT and partner country) and sub-national levels (Nicaragua)

Pre-analysis of deforestation situation through literature review, secondary data analysis, document analysis, and expert interviews

Milestones and results: M1: Literature review on deforestation and on REDD+ M2: Analytical framework and methodology M3: Institutional analysis on international level and Austria M4: Analysis of forest governance, deforestation, REDD+ and stakeholder analysis in Nicaragua M5: Selection and description of case studies

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WP no. 2 Integrated assessment of deforestation drivers and assessment of REDD financial benefits



Work Package Leader (organisation’s name): BOKU-InFER




BOKU - InFER 28.904 Personnel costs, expert interviews, travel costs

BOKU - ITS 11.743 personnel costs

BOKU - ZGWN 1.129 personnel costs

ÖBf AG 19.108 personnel costs, travel costs

UNA 23.639 personnel costs, travel costs

Objectives of the WP: 1) To understand and define social, economic, cultural factors and incentives

underlying local land-use among relevant stakeholder and actors. These will be quantified and subsequently included into the iREDD+ model

2) To identify alternatives to deal with the forest (by forest users), costs and benefits of these alternatives for forest users

3) To identify the factors that drive or mitigate deforestation in the context of the analytical framework and defined scenarios


Task 2.1 Identify economic, social, institutional, environmental factors inf luencing deforestation and forest degradation

Study local to regional factors focus on four sustainab. dimensions (Spangenb. 2007): Economic (e.g. economic dependence, subsistence, income patterns, wages) Social-cultural (e.g. family structures, environmental-related value-systems) Institutional (e.g. public laws, personnel capacities of public administration) Environmental (e.g. use of nat. resources, use options for forests/degraded lands) Task 2.2 Assessment of carbon potential and REDD+ f inancial benef its Selection of appropriate REDD+ accounting methodology Data selection for baseline scenario; identification of historical logging, deforest.

agents, quantification of baseline emissions (data are basis for Task 4.1) Establishment of the REDD+ project scenario and quantification of leakage Quantification of emission reductions and net carbon benefits. Elaboration of monitoring requirements Quantification of transaction costs, identification of project and carbon market risks Elaboration of final carbon revenue estimation Task 2.3 Conduct stated preference survey Preparation and conduction of the stated preference survey Preparation of survey data; editing, coding, quality control, weighting of data Analysis and modelling of stated preference survey data; explorative analysis

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Interpretation of the results; plausibility/validity check, discussion of the results

Task 2.4 System analysis: Identify relationships among factors identif ied beofre

Identify relationship between factors Identify alternatives to deal with the forest Identify costs and benefits of alternatives to deal with the forest Identify governmental option to deal with deforestation

Methodology (e.g. interviews, literature research): Desk research (secondary data analysis and document analysis); Carbon Baseline studies and quantification of carbon sinks/emissions for different

land-use options. Expert interviews at local and national level (focus on institutions, drivers and

preference selection for the model); Semi-structured interviews with stakeholders and experts (local population,

companies, authorities, other agencies etc.); Stated preference surveys on local level;

Milestones and results: M1: Calculation of carbon revenues of different land use options M2: List of factors influencing REDD+ and their relations M3: Identification of different land use options and their cost-benefit –opportunity costs

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WP no. 3 Quantification of deforestation influencing factors and creation of the model



Work Package Leader (organisation’s name): BOKU-ITS




BOKU - InFER 7395 personnel costs

BOKU – IST 15.777 personnel costs, subcontracting

UNA 254 personnel costs

Objectives of the WP: 1) To quantify the effectiveness of the identified factors by means of elasticities 2) To develop a conjoint model of deforestation and forest degradation in

dependence of the influencing factors


Task 3.1 Explorative analysis of inf luencing factors

Analysis of the covariance structure within the collected data. It serves to identify the few critical relationships out of a large number of possible relationships. It is necessary, since data collection in WP02 will deliver a large number of factors/variables that are suspected of having an influence on deforestation and forest degradation. The covariance analysis not only identifies linear trends, but all monotonic relationships such as logistic, logarithmic, powered, saturation or threshold trends.

Decision on procedures and tools for the quantitative analysis. It depends on the scale type of the factors, which were identified to be relevant for deforestation and forest degradation. The preferred option is to quantify each relevant factor in order to feed into the econometric model (see task below).

Task 3.2 Quantitative analysis of identif ied factors

Development of an econometric model, which estimates the effect of the influencing factors on deforestation and forest degradation by means of elasticities. Two types of influencing factors are to be distinguished: (i) Characteristics of alternative choice options. They correspond to opportunity costs, since a choice maker can only take one of several options. To put it simple: Cutting the forest yields X, preserving it yields Y. Y may however increase to Y', if a REDD+ mechanism is in place. This will be a key scenario to reduce deforestation. (ii) Characteristics of choice makers and their background. These are individual, social, institutional and cultural factors, which are assumed to determine the choices in addition to the economic costs.

The analysis will be performed using the software package Latent GOLD Choice, where BOKU-ITS is experienced. It is customised to discrete choice modelling and allows to distinguish different market segments. This may be different countries/regions or different types of forest, where the choices follow different considerations. Choices are characterised by different sets of elasticities.

Task 3.3 Development of a deforestation model for each selected land use

Development of a forecast model, which is able to predict current and future rates of deforestation and forest degradation in dependence of the those

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factors, which were identified to bear an effect. The effects are represented by means of regression weights in the model, which correspond to elasticities. A specific focus will be on the effect of money coming from the REDD mechanism in order to reduce deforestation and.

Calibration and quality check of the model. A key criterion is the ability of the model to predict the variability in current deforestation rates appropriately.

Methodology (e.g. interviews, literature research): Descriptive statistics; Explorative data analysis (covariance analysis); Quantitative data analysis (discrete choice modelling); Plausibility and validity check.

Milestones and results: M1: Set up of the model with relevant factors for deforestation and forest degradation;

M2: Quantified effects on deforestation, forest degradation, REDD+ and other interventions M3: Calibrated and tested model of deforestation and forest degradation.

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WP no. 4 Internal Analysis of Scenarios and Measures



Work Package Leader (organisation’s name): BOKU-ITS




BOKU - InFER 10.599 personnel costs

BOKU - ITS 12.696 personnel costs

ÖBf AG 4.301 personnel costs

Objectives of the WP: 1) To estimate the trends in deforestation and forest degradation just due to the

intrinsic changes of influencing factors, without taking specific action 2) To estimate the change in trends, if specific action was taken according to the

scenarios defined in WP1, in particular if a REDD project was implemented 3) To identify critical drivers of deforestation as well as possible action to be taken

in order to establish a dynamic stability of forests and people


Task 4.1 Development of a reference scenario of deforestation

Development of a reference scenario that forecasts the future rate of deforestation in the target areas and target years, if no specific action was taken. It takes into account all non-REDD-related changes such as population growth, government subsidies for agriculture production, new road infrastructure, social conflict, etc.

Task 4.2 Modelling deforestation and REDD+ scenarios

Development of a model that forecasts the rate of deforestation in the target areas and target years in consideration of specific actions resulting from the REDD mechanism.

Modelling of different REDD+ implementation scenario – national, sub-national-, project based approach.

Assess links between specific actions and deforestation avoidance such as inclusion of improved cooking stoves or improved farming techniques. The possible actions are derived from the scenarios in WP1. The reaction to these actions is estimated by means of the elasticities derived in WP3.

Interpretation and plausibility check of results in consideration of sensitivity.

Task 4.3 Internal conclusions of the analysis of scenarios

Disclosure of critical factors, which will presumably drive deforestation and forest degradation in the future.

Development of options, recommendations and future needs for action in order to fight deforestation. A specific, but no exclusive focus will be on the REDD+ mechanism.

Fine-tuning of model on the basis of the results from consultation of advisory board and the stakeholder consultation in WP5.

Methodology (e.g. interviews, literature research): Forecast modelling; Literature review to validate model

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Milestones and results: M1: Validation of deforestation model which is sensible to future trends and REDD actions; M2: Modelling of different dynamic stability scenarios for the different case studies areas M3: Internal project results in terms of critical drivers of deforestation as well as recommendations how to reduce deforestation M4: Refined model after advisory board and the stakeholder consultation.

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WP no. 5 Stakeholder consultation

Starts: 10/2012 Ends: 03/2013


Work Package Leader (organisation’s name): BOKU – Centre for Global Change and sustainability




BOKU - InFER 17.981 Personnel costs, travel cost, workshops

BOKU-ITS 3.721 Personnel costs

BOKU – ZGWN

12.133 Personnel, travel costs, costs of materials

UNA 3.022 Personnel costs, travel costs

Objectives of the WP: 1) To receive feed-back from concerned stakeholders in Nicaragua and Austria on

the model, the model results and the integrated assessment of the deforestation situation and possibilities of REDD+ in Nicaragua

2) To jointly derive conclusions from the analysis results and develop implementation options and strategies for REDD+ in Nicaragua


Task 5.1 Stakeholder workshops in Nicaragua on different administrative levels

Preparation and implementation of stakeholder workshops on local and national levels: On local level, the target groups are the land-users which are included as agents in the model. On national level, the target groups are governmental decision-makers and other interest groups related to deforestation and the REDD+ instrument.

The purposes of the workshops are to receive feed-back from the target groups and stakeholders on the analysis results and to jointly develop implementation options and strategies for REDD+ in Nicaragua.

Task 5.2 Stakeholder workshop in Austria

Preparation and implementation of one stakeholder workshop with Austrian public and private actors with a stake in REDD+. The workshops will include the members of the iREDD+ advisory board, further interested practice actors and researchers.

The purposes of the workshop are to present and discuss the main results from the analyses of deforestation and REDD+ options in Nicaragua, to relate them to the perceptions and interests of Austrian stakeholders from development cooperation and companies and to jointly develop possible actions with regard to the REDD+ instrument.

Methodology (e.g. interviews, literature research): Interactive stakeholder workshops on local and national levels in Nicaragua and

in Austria: participatory evaluation of model results and participatory development of possible measures.

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Milestones and results:

M1: Nicaraguan workshops completed and analysed, including the following results: Validation of deforestation model and scenarios, reflexion on integrated analysis of deforestation processes and REDD+ options, jointly developed conclusions, options and strategies for REDD+ implementation in Nicaragua. M2: Austrian workshop completed and analysed, including the following results: Reflexion on the deforestation model and on the analysis of deforestation processes and REDD+ options in Nicaragua, jointly developed conclusions and possible activities of Austrian actors regarding the REDD+ instrument and improving forest governance and use in Nicaragua.

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WP no. 6 Developing measures and strategies to implement REDD+



Work Package Leader (organisation’s name): BOKU - InFER




BOKU - InFER 16.118 Personnel costs, travel costs

BOKU-ITS 12.376 Personnel and travel costs

BOKU – ZGWN

1,954 Personnel, travel costs

ÖBf AG 3.625 Personnel costs

UNA 2.271 Personnel costs, travel costs

Objectives of the WP:

1) To identify realistic options for the implementation of REDD+ projects in Nicaragua

2) To develop implementation strategies for REDD+ projects for relevant actors, related to different land-use options and specified for different administrative levels.

Content and description: Task 6.1 Options for the implementation of REDD+ projects in Nicaragua

T 6.1 will derive options for the implementation of REDD+ projects such as organisational implementation designs, partnerships, price levels, etc. This work is based on the results from all prior work packages which inform in qualitative and quantitative ways on the influence of a variety of factors on forest use and on a possible implementation of REDD+ activities. Building on an implementation analysis, governance structures in forest protection and in a possible implementation of REDD+ projects and different stakeholders’ interests and value systems will be considered.

Task 6.2 Implementation strategies for REDD+ projects

T 6.2 will develop implementation strategies for REDD+ projects in Nicaragua as well as other policy measures for improving land-uses. The work will be based on the institutional and stakeholder analysis from WP1, on the model results as well as on the stakeholder workshops from WP5. It will follow systemic approaches of innovation system research and innovation governance which consider institutional framework conditions and actors’ behaviour in the analysis and recommendations. Strategies will relate to the studied land-use options and will refer to the concerned actors from the host and the buyer countries such as the land-users, policy-makers and potential investors.

Methodology (e.g. interviews, literature research): Options: Review of literature about policy recommendations to avoid

deforestation and forest degradations, use of results from stakeholder consultation, scenario modelling, institutional and stakeholder analysis (implementation analysis).

Strategies: literature study, review of stakeholder consultation, scenario

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modelling, institutional and stakeholder analysis (innovation governance).

Milestones and results: M1: Set of options for the implementation of REDD+ projects in Nicaragua. M2: Implementation strategies for REDD+ projects in Nicaragua, addressed to different stakeholder groups and related to different land-use options.

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WP no. 7 Project Management, dissemination and networking



Work Package Leader (organisation’s name): BOKU - InFER




BOKU - InFER 28.452 Personnel costs, travel costs, workshops

BOKU - ITS 5.125 Personnel costs

BOKU - ZGWN 1.806 Personnel costs

UNA 953 Personnel costs

Objectives of the WP: 1) To coordinate the work between project partners and track the progress against

time plan and budget 2) To maintain the contact to the funding authority 3) To establish and coordinate two project-related networks with external

stakeholders (Nicaragua and Austria/international). 4) To provide an effective quality assurance and documentation system. 5) To disseminate/exploit results for further scientific use and for practical users.

Content and description: Task 7.1 Project management

Establishment of a project management board with representatives of partners, which is the main decision making-body of the project and is collectively responsible for all formal decisions. Establishment of an Advisory Board which provide external advice and which connect to scientific and practice communities. This Panel is constituted by permanent members who have sent their letters of intent and by non permanent invited guests.

Coordination of partners and internal communication strategy, including kick-off, regular and final meetings, project website, and other communication instruments such newsletter, mail exchange and virtual meetings.

Monitoring of progress against time plan and budget in qualitative and quantitative terms.

Task 7.2 Quality management, inter- and transdisciplinary coordination and inter-cultural communication

Scientific quality control: Work plan, intermediate results and deliverables will be reviewed within the project groups and by research experts from the Advisory Board or other senior scientists.

Relevance for practice: External partners from practice in the Advisory Board have the role to ensure good connection to practice perspectives and experiences and ongoing political debates. The invited Board members connect to the major policy fora on relevant national and international levels.

Inter- and transdisciplinary and inter-cultural coordination management: The international, interdisciplinary, participatory and intercultural set-up of the project is a special communication and coordination challenge which is met through various measures: assign a specific role to a responsible person (deputy leader), awareness raising, allocate sufficient time for communication

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between partners, employ personnel experienced in such research, employ professional methods (Schophaus et al. 2004).

Task 07.3 Scientif ic and practice-related dissemination

Scientific community: Dissemination is done throughout the project and from all Work Packages. Articles in peer-reviewed journals are prioritised. The research group will actively participate in related international conferences and will organise a final project conference and seminar for an international audience.

Practice audiences: Dissemination takes place through relevant networks and the communication instruments stated below. Emphasis is given to the connection to relevant political fora in which climate change and deforestation issues are negotiated. Dissemination activities will address stakeholder groups on local, regional, national and supra-national levels, including public and private actors in developing countries and Austria/EU.

Methodology (e.g. interviews, literature research): Project management and quality management instruments (work plan,

documentation, monitoring, etc.) Inter- and transdisciplinary coordination management, methods of inter-cultural

communication Scientific and practice-oriented dissemination: conference presentations, journal

articles, printed and web publication of research results, final project conference.

Milestones and results: M1: Project website, kick-off meeting, establishment of boards and networks M2: Mid term report and second advisory group meeting M3: Final report; final conference and seminar in Vienna to present the results of the project and the model to the Austrian and international REDD+ community and possible users. M4: Presentation of results at least at 2 scientific and practice conferences, and articles in at least three peer-reviewed scientific and various practice journal.

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2 Suitability of Funding Applicants /Project Partners

2.1 Overview

Please note that this data has to be matched with Form B (Sheet “9 Total Costs and Funding”)! Applicant (A) /

Partner no. (P x) Type of organisation*

Federal state**

Share of costs in total costs [EUR]

[%] Funding applied for [EUR]

[%]

BOKU-InFER (A) RI-U W 138,741 84 116.820 100

BOKU-ITS (P1) RI-U W 76,723 100 76,723 100

BOKU-ZGWN (P2)

RI-U W 18,376 100 18,376 100

ÖBf (P3) LE NÖ 30,106 100 30,106 100

UNA (P4) RI-U A 36,469 100 36,469 100

Sum of total costs 92.70%

100%

Table 4 Overview of the project cost allocation * Add type of organisation: Please use the following acronyms Large enterprises LE

Medium-s ized enterprises ME

Small enterprises SE

Research institutions – universities , universities of applied sciences RI-U

Research institutions – non-university research institutions RI-N

Research institutions – individual researchers RI-I

Research institutions – others RI-O ** Add Federal state: Please use the following acronyms B: Burgenland, K: Carinthia, NÖ: Lower Austria, OÖ: Upper Austria, S: Salzburg, ST: Styria, T: Tyrol, V: Vorarlberg, W: Vienna, A: Abroad

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Applicant (A) /

Partner no. (P x) Main task in the project

BOKU-InFER (A) Project coordination, project management and dissemination of the results

The development of analytical framework and methods, measures and strategies to implement iREDD+ framework

Selection of the case study regions in collaboration with the other project partners

To analyse REDD+ framework at international level and for Nicaragua and to analyse processes that impact on the deforestation in Nicaragua

To identify relationships among economic, social, institutional, environmental factors influencing deforestation and forest degradation

Assessment of carbon potential and REDD+ financial benefits To identify alternatives to deal with the forest (by forest users)

and to identify costs and benefits of these alternatives for the forest users

Identify the factors that drive or mitigate deforestation in the context of the analytical framework and defined iREDD+ scenarios

The development of realistic options for the implementation of REDD+ projects for different stakeholders and development of implementation strategies for REDD+

BOKU-ITS (P1) To estimate the trends in deforestation and forest degradation just due to the intrinsic changes of influencing factors, without taking specific action

To quantify the factors that influence on deforestation and forest degradation

To develop a conjoint model of deforestation and forest degradation in dependence of the influencing factors

To identify critical drivers of deforestation as well as possible action to be taken in order to establish a dynamic stability

BOKU-ZGWN (P2) Support the applicant and BOKU-ITS in making the proposed empirical research as applicable as possible (e.g. by giving input and feedback on the draft exploratory phase and survey questionnaire)

Co-organise two workshops to discuss the findings of the project with advisory board and other important stakeholders working with REDD+ in Austria

Co-organise the final conference to present the results of the project in Austria

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Co-organise and moderate 2 workshops to get feedback and validate project results with Nicaraguan stakeholders

Co-project coordinator

ÖBf (P3) Select case study and case study regions in collaboration with BOKU-InFER and other project partners

Carbon measurements and baseline determination in Nicaragua

Development of strategies to implement REDD+

UNA (P4) Help to identify sites in Nicaragua where the human pressure on resources is high and also the key agents who set the pressure

Help the BOKU University team in the decision of the most appropriate method to local conditions and to work together developing the survey tools.

Support and carry out surveys with other project partners (farmers, governments, farmers - cattle, logging companies)

Provide the logistics of the research (transport, support staff scientist in the field, information about the local context) with financial support from project

Provide local expertise for the development of policy options, which will form the starting point for the discussion with local stakeholders

Assist in the preparation of workshops with local stakeholders and to report the results of the research in Nicaragua

Table 5 Main Tasks of the Project Partners

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2.2 Project Partners

A) The Institute of Forest, Environment and Resource Policy (InFER)

The Institute of Forest, Environment and Resource Policy at the Department of Economics and Social Sciences has a long experience in policy analysis related to forests and forest management. Research activities are inter-alia focused on policies to improve long-term competitiveness, in particular through the group of researchers working for the European Forest Institute Central-East European Regional Office (EFICEEC), hosted by the Institute, and the chairmanship of COST ActionE51 on innovation policy integration and coordination (www.boku.ac.at/coste51/). Further research priorities are climate change policies (e.g. the ACPR project GoAdapt), environmental protection policies and measures (incl. e.g. the FORVALUE project, the EU FAP evaluation), broader societal research (public opinion analysis), as well as co-ordination and communication aspects (as exemplified e.g. through coordinating the EU FP6 “GOFOR” project (new modes of governance for sustainable forestry in Europe - www.boku.ac.at/GoFOR/) or the Action Chair of COSTE19 on national forest programs (www.metla.fi/eu/cost/e19/). The Institute has a long experience in working in a multi-disciplinary environment and is well integrated in international research networks, as exemplified by the projects or networks mentioned above. The institute was also involved in the EU FP6 Integrated Project EFORWOOD (Tools for Sustainable Impact Assessment of the Forestry- Wood Chain, FP6, www.eforwood.com). The Institute is working closely with forest related stakeholders as well as international organizations such as the Forest Europe, UNECE, and FAO, as exemplified e.g. through the editorship of the Forest Europe / UNECE / FAO State of Europe’s Forest report 2007 (see www.mcpfe.org/publications/).

Gerhard Weiss, PhD Senior researcher at the Department of Economics and Social Sciences, BOKU. Gerhard Weiss holds a degree of forest sciences as well as a doctoral degree in forest economics and policy from the University of Natural Resources and Applied Life Sciences (BOKU), Vienna, Austria. He is currently employed by the Department of Economics and Social Sciences at this University. Main competences of Gerhard Weiss are: national, EU and international forest policy analysis, sustainable development policy, innovation research in the forest sector. He works for the EFI Central-East European Regional Office (EFICEEC) where he focuses on the analysis of national and international policies for the development of the forest sector as well as on the analysis of innovation cases in the sector such as in the fields of biodiversity conservation, environmental services and recreation. He is particularly interested in the evaluation of policy instruments for the provision of sustainable multipurpose forest management and rural development.

Dominik Schmitz, MSc. finalised his environmental science study at University Graz. He wrote his Master Thesis at “Hamburg institute of international economics” in 2006, and investigated the “Sustainable Development impact of CDM hydropower plants”. The research was supervised by Axel Michaelowa PhD. Since 2007 he is working as international consultant and has more than 5 years experience in international climate policy and the carbon market, incl. REDD. He lived 2 years in Guatemala and is familiar with the Central American region.

Filip Aggestam works as researcher at the Institute of Forest, Environment and Natural Resource Policy, University of Natural Resources and Life Sciences, Vienna (BOKU). He is also working for European Forest Institute Central-East European Regional Office (EFICEEC). In addition to his work as a researcher for EIFCEEC, he is presently also completing a PhD at BOKU in Environmental Engineering, a project which focus on transboundary water resource management and decision support systems (related to decision-making and stakeholder participation).

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Maria Geitzenauer works as a PhD student at Institute of Forest, Environment and Natural Resource Policy, University of Natural Resources and Life Sciences, Vienna (BOKU) as part of the international and interdisciplinary research project “Beech forests for the future”, in which she studies market based instruments for biodiversity services and payment for ecosystem services. She further contributes to the project “Climate change effects on green space of the city of Vienna and related ecosystem services”.

MSc. Saana Tykkä works as a researcher in European Forest Institute Central-East European Regional Office (EFICEEC) at the Institute of Forest, Environment and Natural Resource Policy, University of Natural Resources and Applied Life Sciences, Vienna. She has graduated from University of Helsinki in 2008, majoring in political history. In her work she focuses on the forest sector and innovation policies. Her particular interests lie on the development of the forest sector and the interrelationship between the society and the forest sector.

Relevant ongoing projects: Climate change effects on green space of the city of Vienna and related ecosystem services

(2009-2013) (Project lead) Innovation and sustainability of forestry in Central-Eastern Europe: challenges and perspectives

(2009-2011) (Project lead) New market based instruments for biodiversity conservation in European beech forests (2010-

2013) (Project lead) ECO2 – Carbon-efficient, sustainable, competititve processing and end-use concepts for forest-

based industries (2010-2012) EFORWOOD – Tools for Sustainability Impact Assessment of the Forestry-Wood Chain (ToSIA)

(2007-2010) European COST Action E51 “Integrating Innovation and Development Policies in the Forest

Sector” (2006-2010) (Chair) European COST Action FP0804 – Forest Management Decision Support Systems (FORSYS)

(2009-2013). Shaping forest communication in the European Union: public perceptions of forests and forestry

(2009) Review of the Ministerial Conference on the Protection of Forests in Europe (MCPFE/Forest

Europe) (2009) InFER and BOKU University offer all the infrastructure necessary to conduct the research proposed here, including office space, PC hardware and software, telephone and office material. EFICEEC contributes access to its international research and practice networks through the European Forest Institute, such as to the EFI FLEGT European policy advisory group.

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B) Institute for Transport Studies at BOKU (BOKU-ITS)

The Institute for Transport Studies (BOKU-ITS) is part of the Department of Spatial, Landscape and Infrastructure Sciences at the University of Natural Resources and Applied Life Sciences (Bodenkultur, BOKU) Vienna. The BOKU is an interdisciplinary oriented university with a wide-spread research field; its goal is to promote sustainable development in applied life sciences field. The staff of the BKU-ITS is well trained in working with interdisciplinary and trans-disciplinary project teams in the field of transport impact assessment. The main field of work includes travel behaviour and transport planning for public transport, private transport, non-motorised and intermodal transport on national, urban and regional level. A lot of research focuses on travel behaviour, including revealed and stated preference analyses and the development of statistical behaviour models. These are important procedures for the project at hand, as the valid estimation of the behavioural parameters requires a specific survey design and appropriate expertise. BOKU-ITS was and still is involved in several research projects related to this proposal:

DIALOG – Individual motivation towards an efficient use of energy in the area of transport and private households; since 2009

VIVAT – Analysis of the possible scope to increase traffic safety by optimization of information, traffic supervision, sanctions and social acceptance; 2006 - 2009

MAZCE - Options and effects of a Europe-wide trading in CO2-emissions on the road transport in Austria; since 2009

Égalité plus - Equality issues in everyday life in transport - quantification of mobility-impaired people; since 2009

SHEMOS - Mobility scenarios for the year 2035; 2002 - 2004

GUIDEMAPS - Gaining Understanding of Improved Decision Making and Participation Strategies; 2002 - 2004

TRANSECON - Urban Transport and Socio economic Developments; 2001 – 2004

Gerd Sammer, o.Univ.Prof. Dipl.-Ing. Dr.techn. (head of the Institute), numerous national and international publications and presentations, project leader of national and international research projects, works in the field of transport policy consultancy on international, national, province and community level. He is an expert in: transport planning for all traffic modes, research for behaviour modelling, economical and ecological impacts of traffic and transport, traffic prognosis and action plans.

Reinhard Hössinger, Ing. Mag. Dr. (research assistant), project leader of national and international research projects, professional focus on travel behaviour, attitude research, statistical analyses and modelling, environmental economics, evaluation of transport projects, stakeholder participation, transport marketing.

Oliver Roider, Dipl. Ing. (research assistant), project leader of national and international research projects, professional focus on transport studies, travel behaviour surveys, mobility forecasting and transportation modelling, travel mode choice research, environmental impact assessment of transportation and public transport.

Wiebke Unbehaun, Dipl. Ing. (research assistant), project leader of national and international research projects, professional focus on behavioural and attitudinal research, research on obility behaviour, statistical modelling, project management, stakeholder participation, climate change impact research in the field of tourism and recreation, sustainability in spatial development.

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ITS and BOKU University offers the necessary infrastructure, including office space, PC hardware, PC software and office material that is needed for the completion of the proposed project.

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C) Center for Global Change and Sustainability (BOKU-ZGWN)

The Center for Global Change and Sustainability at the University of Natural Resources and Applied Life Sciences (BOKU-ZGWN) is a new research center at the BOKU University, with an interdisciplinary focus in building up networks with research institutes, departments, platforms and initiatives at the University of Natural Resources and Applied Life Sciences. The research and teaching BOKU-ZGWN performs in the areas of global change and sustainability (e.g. climate change and climate protection, sustainable concepts for securing global food security, transportation, waste management, water supply and use) are done with the same interdisciplinary focus as well. The work of the center involves networking, cooperation, knowledge exchange and synthesis in research but also in teaching, policy advice and public relations. Furthermore, these cooperative and networking activities of the center extend to national and international research institutes and organisations. The center started functioning in June 2010 and currently employs seven researchers.

Maria Miguel Ribeiro, PhD, project co-ordinator of research projects, professional focus on participatory processes and action research, drivers of deforestation, qualitative data collection and analysis.

Research projects relevant for this proposal:

CORPUS - A FP7 project on knowledge brokerage between science and policy making in the field of sustainable consumption, 2010-2011

RCCAS – A research project for the EU commission to develop guidelines to create regional climate change adaptation strategies, 2009-2010

Spatial trade-off analyses for site-sensitive development interventions in upland systems of Southeast Asia, 2005-2008

ZGWN and BOKU University offer all the infrastructure necessary to conduct the research proposed, including office space, PC hardware and software, telephone and office material.

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D) Austrian Federal Forests Consulting (ÖBf AG)

Austrian Federal Forests (ÖBf AG) is the largest ecosystem manager, forest managing company in

Austria that manages 10% of Austria's territory and 15% of the national woodland. ÖBf AG is a joint

stock company that is 100% owned by the Austrian government. The core business of ÖBf AG is

forestry management harvesting about 2 Mio. solid cubic metres per year. By managing forests sustainably and supporting the production of renewable energies ÖBf AG importantly contributes to

the protection of the climate. ÖBf AG is working closely together with scientific institutions. In 2009,

the company had supported, financed and been engaged in 50 research projects. Research projects

covering climate change and forestry topics has been one of the core research activities of ÖBf AG.

Regarding forestry and climate research activities, ÖBf AG is involved in several projects:

ADAPT, the project aims to evaluate the vulnerability of sustainable forest management strategies concerning climate change, together with BOKU, 2007-2009

Adapting forest soils to climate change, researching climate change and the ability of absorb GHG of mircro-organisams, Startclim, 2008-2009

MoorClim, Peatlands in Austria, climate stress and contributions to active climate protection, 2009-2011

ÖBf Consulting was founded 1997 and was established with the aim to unite decades of economic,

ecological and technological know-how and experience of the app. 1,150 ÖBf employees; to continually improve these professional services; and to become a one-stop-shop providing tailor-

made solutions to clients in the forestry sector. ÖBf Consulting offers services in several sectors of

forestry and integrated natural resource management. A core consulting area of ÖBf Consulting is

REDD+ and climate change related projects in developing countries.

Indonesia, Support to Formulation of a Forest Programme embedded into the REDD Process 08-09, financed by German Development Bank, KFW

Lao. P.D.R. REDD Readiness Preparation Proposal 2010, financed by Worldbank Forest

Carbon Partnership facility.

Indonesia, CDM Afforestation/Reforestation support for Indonesian forest industries,

financed by Worldbank

Ethiopia, Pre-Feasibility on the Economic Sustainability of the Oromia Forest and Wildlife

Enterprise with particular emphasis to Participatory Forest Management, financed by German

Development Cooperation, GTZ

Mr. Alexander Horst, MSc Tropical Forestry, Senior Forest Carbon Consultant of ÖBf, has about 20 years of professional experience in the provision of policy and technical advice for sustainable forest management as well as climate change mitigation and adaptation. Within ÖBf AG, he is responsible for climate change issues and represents ÖBf in the Climate Change Working Group of the European State Forest Association (EUSTAFOR). Early in his career, he worked as GIS and remote sensing analyst for the University of Berkeley, USA and lecturer in forest inventory for the University of Göttingen, Germany, and has thus a good professional understanding of remote sensing, GIS and forest monitoring.

ÖBf AG offers all necessary infrastructure for the work in the project.

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E) National Agrarian University (UNA), Nicaragua

The National Agrarian University (UNA) in Nicaragua provides a professional education to its students and tries to address the development, political, economic, social, and cultural needs of the country through its programs (http://www.una.edu.ni/). UNA is comprised by 4 faculties: Faculty of Agronomy, Faculty of Animal Science, Faculty of Natural Resources and Environment (FARENA); and Faculty of Rural Development. UNA currently offers 9 study curriculums in its main campus (Managua) and 4 of those in the two campus on the central region of Nicaragua. The study curriculums are: BSc. in Forestry, in Renewable Natural Resources, BSc. in Agronomy, Agricultural and Forestry Protection Systems, in Animal Husbandry, BA. in Agribusiness, and in Agrarian Development, Agricultural Engineer, and Veterinary medicine. UNA has a total of 3,400 students, distributed as 2,500 in the main campus and around 900 in the other two campus. The students are representatives of all the regions in Nicaragua.

The Faculty of Natural Resources and Environment (FARENA) prepares professionals for a career in Forestry and Renewable Natural Resources Management: Integrated Watershed Management and Territorial Ordinance, Sustainable Forest Management, Environmental Quality and Management, Renewable energy; and Conservation and Management of biodiversity (http://www.una.edu.ni/facultad/farena/index.php?option=com_content&task=view&id=3&Itemid=18)

FARENA serves an average of 350 to 400 students per year. The staff has experience soil and water management, sustainable management of natural vegetation, and socio economic issue. From 41 members 7 have PhD degree (17%) and 14 Masters (34%). FARENA has sought to build its capacity though partnerships with several international and national governmental organizations and NGO's. These have included the International Center for Tropical Agriculture (CIAT), the Program for Sustainable Agriculture on the Slopes of Central America (PASOLAC), The International Service for National Agricultural Research (ISNAR), among others. As well as with renowned universities such as Swedish University of Agricultural Sciences (PhD Program) (SLU), Sweden; University of Lleida (students' exchange), Spain; University of Wageningen (FARENA staff training), The Netherlands.

Benigno González R. has a PhD in Forest Sciences from the Agricultural University of Sweden (2000-2005) with specialization in Tropical Dry Forest Management. Recovery of Degraded Areas of the Dry Tropics of Nicaragua. He is a Professor at the Faculty of Natural Resources and Environment in UNA. Professor since 1988. González lectures: dasometry, Forest Inventory, Forest Management and forest research Methodology. He is also the coordinator of the Master in Management and Conservation of Natural Resources. González worked as technical Assistant Forest Management Program. Nicaraguan Institute of Natural Resources and the Environment (IRENA) and was a member of the technical team to assess the damage from Hurricane Mitch in San Dionisio, Matagalpa, Nicaragua.

MSc Reynaldo Bismarck Mendoza Corrales works at the National Agrarian University of Nicaragua as a docent and principal researcher for soil quality component at the watershed UNA-CARE-PIMCHAS project. In 2006 he completed a MSc in Natural Resources in Nebraska-Lincoln University (US) and he graduated as Agrarian Engineer. He works on soil and water conservation, using participatory methods. Reynaldo has been involved in national and regional research projects such as CARE International, USDA Collaborative Research Support Program, PASOLAC, CIAT, South West GTZ project, Mayoralties of Tipitapa, La Dalia, Nandaime, San Juan del Sur, Belén, and Santa Teresa, and regional studies as member of the Integrate Soil Management Consortium (MIS). Since

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2000 he is involved with land survey at municipalities study in the south region of Nicaragua, which included technician and farmer training.

Relevant ongoing projects: Project about diversified forest management with small farmers in Nicarague: Manejo

Diversificado del Bosque Secundario Desarrollado en Fincas de Pequeños Productores en el Trópico Seco en Nicaragua

PRODES –diagnosis of forest resources and analysis of socio-economic information in the municipality of New Guinea, Nicaragua

Consultant member of the CIAT team to perform a Intelligent marketing and soil quality project on small steepland soil cultivate with vegetables in Honduras y Nicaragua. Red SICTA Support

Consultant member of the CIAT team to develop a Transversalitation guide for MST Project with national institution of Nicaragua which are partnership of the MST project.

Consultant in the project Management of Fragile soil of Central America MIS carrying out: Evaluation of the Agro forestry Quesungual system impact over the soil quality, coal sequestration and water conservation, economic impact of rural families from Lempira Sur. Other organizations in the consortium: CIAT, FAO, ITC in Honduras, and UNA from Nicaragua.

The UNA offers office space, internet connection and access to the University transportation system.

The UNA also provides use of telecommunication (fax, telephone, etc.) and computer room.

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Subcontractors

1) Basic information

Relevant WP(s) 3-4 Subcontractor to A/Px 1

Name of subcontractor Michael Obersteiner, PhD

Subcontractor’s address International Institute for Applied Systems Analysis (IIASA) Schlossplatz 1, A-2361 Laxenburg. Austria. Mobile: +43-664-919-7947, Fax. +43-2236-807-599

[email protected]

Costs of the subcontract [EUR] 6000 EUR

Types of costs (stated in %) 100% personnel costs

2) Description of the subcontracted activity The team will subcontract an internationally well-known REDD+ and modelling expert Michael

Obersteiner PhD. Mr. Obersteiner will support the structure of the model and to ensure the link of

the iREDD+ model with other existing deforestation models such as models developed by IIASA. He

will support the team to:

Review iREDD+ and make recommendations on the research design and model development

Ensure cross comparison of iREDD+ model with other existing models in regard to technical

issues and linkages

Inform about information that is available for modelling at IIASA and which might be included

in the iREDD+ model

Michael Obersteiner is senior expert in global forest modelling, spatial global modelling of socioeconomic systems, energy risk management and climate policy analysis. He has been principle investigator of a number of large-scale science projects. 3) Offer (if available) n.a.

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2.3 Consortium and Management

The applicant InFER at BOKU University and the staff members involved have extensive expertise

in forest, environmental, climate and sustainable development policies, as well as in coordinating

international, inter- and transdisciplinary research projects. It is experienced with REDD+, the

Central American region and socio-cultural, political-institutional, and economic deforestation

drivers. EFICEEC at InFER has a research focus and networks in market-based instruments for forest ecosystem services, and on sustainable forest management, particularly related to

development economies. BOKU-ITS is well experienced in working with attitude research, statistical

analyses, modelling, environmental economics and stakeholder participation. They will contribute to

the project the MAZCE model, which was developed in an ACRP research project. The Centre of

Global Change and Sustainability was initiated to strengthen interdisciplinary research activities between BOKU institutes and international research partners. Staff have strong experiences with

participatory processes, action research, as well as climate change modelling. ÖBf AG has first hand

experiences with climate change and forestry in its own forests and internationally. ÖBf Consulting

is the leading consulting company in Austria on REDD+ projects and is engaged in international

institutions such as Worldbank and UNFCCC. The National Agrarian University in Managua is the first address regarding forestry research in NI and the staff has experience in sustainable forestry,

soil and water management, management of natural vegetation, and socio economic issues.

External scholarly expertise on REDD+ and deforestation drivers will be integrated into the project flow by means of an Advisory Panel. The Advisory Panel consists of renowned Austrian and international REDD+ experts from Austrian Ministry of Environment, Austrian Development Agency, FAO, WWF, European Forestry Institute, Joaneum Research and International Institute of Applied System Analysis. The following members have indicated their interest in participation (Letters of Intent in Enclosure 1, see also Figure 3):

Jesus Garcia Latorre, REDD+ negotiator, Austrian ministry

Erwin Künzi, Environment and development cooperation, Austrian Development Agency

Jussi Viitanen - European Forest Institute (EFI), FLEGT TEAM

Ewald Rametsteiner, forest policy specialist, FAO Rome

Kathrin Hebel, REDD+ coordinator, WWF Austria

Neil Bird, Naomi Pena, REDD+ policy experts, Joaneum Research, Graz, Austria

Michael Obersteiner, LULUCF monitoring expert, International Institute for Applied System Analysis, Laxenburg, Austria

Professor Michael Fremery, (retired 2010) social scientist, dynamic forest stabilisation systems, University of Kassel, Witzenhausen, Germany

Further experts on the Advisory Panel will be invited during the ongoing of the project

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Figure 3 Participating Organization The project leader is responsible for the scientific, financial and administrative management of

iREDD+. InFER has extensive expertise in this respect and is involved in all key steps of the

research proposed here, in particular in the specification of the analytical framework and the

integrated assessment of deforestation drivers in Nicaragua. InFER will also play a key role in

disseminating the findings, together with all research partners. The main decision making body is the Project Board where all research partners are represented. The Advisory Panel advices on the

research work and members serve as external reviewers for the project outputs.

a) Use of tools for comprehensible review of the project objectives (self-evaluation: catalogue of evaluation criteria and concept)

Since the research proposed here will be conducted by a team of four Austrian and one international

partner, regular exchange is essential to ensure the quality of research. UNA will be included to

quaraterly meetings by telephone/web conferences. Findings from all WPs will be published throughout the project life time, which makes it possible to assess the quality of the work step by

step. The Advisory Panel serves as a reviewer of scientific quality and practical relevance of the

results.

The criteria for assessing the quality of the deliverables can be specified as follows:

Do they meet the objectives and the contents as defined in the proposal? Can the model be established as planned in the research proposal?

Are the deliverables finalised and submitted in time according to the time schedule?

Is the scientific quality up to international standards and are the results relevant and

understandable to practice audiences?

Does the coordination support the vivid exchange of experiences and mutual learning among partners, across disciplines and cultures?

b) Building up competence and other medium to long-term advantages provided by the

consortium to the individual partners and advisory team

The project will help to anchor the international research on REDD+ and international mitigation and adaptation at BOKU University, in Nicaragua and in Austria. Since social and political science

research on the REDD+ topic is rare, working on the project will position InFER as a competent

address in environmental and climate change policy research. BOKU-ITS will be able to extend their

climate change modelling capacities to the forestry field and into the international context. The new

established ZGWN will become a central player in international research on climate change and broaden its network in Austria and on an international basis. UNA will be connected to the

international REDD+ research network and strengthen is competence and comprehensive

information about deforestation causes in the country. The project will enable ÖBf AG to elaborate

its leading position and competence in assessing REDD+ projects taking into account all relevant

deforestation factors. ÖBf-Consulting will gain experience with REDD+ in Central America.

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The outstanding Advisory Panel experts will be helpful in keeping up-to-date overview of the

complex international REDD+ negotiations and research and in networking with national and international organisations. They will vice versa benefit from the project exchanges and findings.

The project team will ensure cooperation with other forest and climate adaptation research or

networking initiatives, such as the EFI European FLEGT policy advice group (http://efi.int), weADAPT

network (http://www.weadapt.org), the PEER Initiative for Climate Change (http://peer-

initiative.org), or the CIRCLE ERA network (http://www.circle-era.net/).

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3 Dissemination and Economic Potential

3.1 Expected publications

The research team will cooperate with internationally well known REDD+ experts who join the Advisory Panel. The findings of the project will be disseminated through various channels, including 2 conference presentations and 3 peer reviewed journal publications. All project reports will be publicly accessible on InFER website, and the findings will be disseminated through several other channels of communication that address different target groups (for an overview see table 6, below):

Means of communication & dissemination Practitioners Researchers & students

Public

Project reports Conference presentations Academic publications (journal papers) Teaching at BOKU University Workshops Networking activities

Table 6: Summary of dissemination means and target groups Scientific dissemination: two presentations at international forestry and climate change related scientific conferences such

as through IUFRO, EFI, LULUFC or at UNFCCC conference side events. Further presentations at international topical seminars in EFICEEC and LULUFC and climate change research networks.

three journal papers to be published in international peer reviewed journals (such as ‘Climate Policy’, ‘Environmental Politics’, ‘European Environment’, ‘Environment and Planning C’, ‘Climatic change’, ‘Environmental Research Letters’). The first two papers will focus on the intergrated assessment of deforestation and modelling the political-institutional, socio-cultural, and economic deforestation drivers with a focus on Nicaragua. The third research paper will describe the selected case studies, findings and model results. A fourth possible research paper could focus to summarise the findings and discuss the application in the wider REDD+ debate. These are cautious estimates, as in previous research and consulting projects, we have always published more than promised in the proposal. Publication activities are planned as outputs from all WPs throughout the project lifetime.

At the end of the project, a final conference which will include scientific seminar, will be organised.

Reports from WPs and the final conference will be published in printed proceedings, or online through the project website.

Climate change topics and REDD+ will be covered in teaching at BOKU and UNA Universities. Practice oriented dissemination: Throughout the project, there will be exchange between REDD+ experts and policy makers in

Nicaragua, Austria and at international level. Key findings of the research project will be discussed with the various REDD+ experts with policy, scientific and NGO background in the 3 Advisory Panel meetings. The Advisory Panel is planned to continue after finalisation of the project in form of a formal Austrian REDD+ platform. Furthermore, dissemination will occur through networking activities with existing networks such as the European Forestry Institute, the weADAPT network (http://www.weadapt.org), the PEER Initiative for Climate Change

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(http://peer-initiative.org), or the CIRCLE ERA network (http://www.circle-era.net/), forums (such as the ACRP Forum), and relevant institutions (such as EEA, DG Environment and OECD).

Findings will be published on the project website, practical journals, and at seminars.

3.2 Expected resulting data sets and / or tools

The output of the research are REDD+ implementation strategies for Nicaragua, which are based on

price elasticities for each deforestation agent and choice situation (deforestation and enhancement). The elasticity shows the agent's probability of avoiding deforestation (or engaging in forest

enhancement) in dependence of the amount of REDD+ finance. In turn, the price elasticities serve in

estimating the potential and cost of saving CO2 via REDD+ by means of an extrapolation of results

to sub-national and national level. The project will support Nicaragua to identify the best option to

implement REDD+ in the country, whether at project based-, sub-national- or national level.

The above described outcomes of the iREDD+ project will assist Austrian policy makers, private

companies and NGOs active in REDD+ negotiations, strategies or REDD+ project planning. The

expected outcome of the research will provide the Austrian policy community with a new tool to

evaluate and improve the Austrian REDD+ position and planned REDD+ governmental initiatives. We expect that Austria will need to take an active role in the REDD+ mechanism to re-gain

international reputation as Austria will not reach its Kyoto targets. Austrian companies such as ÖBf

are interested to either consult for or to develop REDD projects. Besides, the scientific organisations

such as BOKU, IIASA and Joaneum, which have already experiences with REDD+, aim at

strengthening their research experiences and networks.

3.3 Contribution to the Objectives of the Programme and user value

The anticipated results and scenarios of the iREDD+ model will greatly support various stakeholders

such as governmental bodies (e.g. Austrian Ministry for Environment), Austrian Development

Agency (ADA), private companies (e.g. Austrian Federal Forests) and NGOs in gaining a better

understanding about different deforestation factors, land use options and elasticities influencing

REDD+ projects. The research focuses its activities on Nicaragua, which is the partner country of Austria and threatened with the highest deforestation rates of the Austrian development cooperation

countries. It is envisioned that should the research project be financed and successfully finalised, the

model could then in the future be applied to other countries of Austrian Development Cooperation.

The research team will cooperate with internationally well known REDD+ experts who join the Advisory Panel. As described in workpackage 6, the findings of the project will be disseminated through various channels, including 2 conference presentations and 3 peer reviewed journal publications. To relate the research content of the project with the objectives of ACRP programme, quotes from ACRP call are matched with key aspects of this proposal. Overall, the research project is covering several thematic areas of ACRP call namely the thematic areas 1, 3, 4 and 5 (table 7).

Objectives of the programme How the project addresses the call

Enhance research capacity ACRP aims build Aust. research competence in

Since political science research on climate change and forestry as proposed in this project is rare, working on the project will position InFER as one of the few environmental policy institutes working on

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essential areas not yet well established” and link with int. research community

REDD+, in Austria and Europe. Through the Advisory Panel and scientific networks, InFER will be able to further develop its competence in the future.

Thematic Area 4 Perceptions of and attitudes toward climate change and its mitigation and/or adaptation.

As outlined in this proposal, adequate governance approaches, stakeholder behaviour and knowledge of climate change are key to develop and implement effective mitigation policies like REDD. The project will identify different land use change options and elaborate the most effective strategy to implement REDD+. The results will hence have direct impact on REDD+ policy in Nicaragua and Austria.

Thematic Area 4 Potential for human and social capital, in addition to economic factors, to condition the capacity to mitigate. Economic incentives, regulations… depend on political will, which, depends importantly on the attitudes, preferences…of citizen

The REDD+ mechanism is an important new economic instrument to protect the climate. However, as outlined above, in order to be sucessfully implemented, REDD+ depends on institutional framework conditions, political will, the governance system, attitutes and preferences of policy-makers, public administrations, companies and land-owners. Research about the political, human and social dimensions of REDD+, which will be thorougly elaborated in this proposal, are largely lacking so far. Besides, the project will bridge the science-policy gap by intensively exchanging project results and strategies with the policy makers in Nicaragua and Austria.

Thematic Area 1 Responding to Austria’s Policy Community

The project responds to the needs of Austrian government policy makers such as Ministry of Environment and Austrian Development Agency in their efforts to design and implement adaptation and mitigation interventions in priority areas of Austrian Development Cooperation. It will also facilitate the engagement of researchers with Austrian policy makers.

Thematic Area 3 Economics of climate change. What are risks and the chances of fundamental structural changes…to accommodate a large reduction in greenhouse gas emissions

The project will support Nicaragua for transitioning towards a low-carbon economy by mitigating carbon emissions from the LULUCF sector. Opportunity costs and benefits and price elasticities of land use options including REDD+ finance will be studied in this research project. The research project will thoroughly discuss land use options and strategies with stakeholders in Nicaragua and identify the likelihood of fundamental structural changes, such as changing the agricultural extension policy, banning the illeagal logging etc.

Thematic Area 5 Reshaping Science and Governance in the Post-Copenhagen Environment

In contrast to overall climate negotiations which move forward at a very slow pace since Copenhagen, the REDD+ negotiation text and steps toward a potential REDD+ agreement had been positive in 2010. The inclusion of REDD+ to be included into a post-Kyoto agreement is however still unclear. It is further unclear whether REDD+ will be a market based mechanism, or based on funding by different organisations and countries. A strong interest of REDD+ discussions is linked to further methodological developments such as REDD+ carbon methodologies as well as researching social, institutional, political framework of REDD+. This research will contribute to the elaboration of the REDD+ mechanism in a post-Kyoto climate regime.

Table 7 Overview of the themes between the ACRP and the iRED+

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4 Annex

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Transition Theories. World Bank Policy Research Working Paper 4117.

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Angelsen, A., 2009. Realising REDD+ National strategy and policy options. Center for International Forestry Research, Bogor.

Bluffstone, R.A., 1998. Reducing degradation of forests in poor countries when permanent solutions elude us: what instruments do we really have?. Environment and Development Economics 3 (1998), 295-317.

Brown, S., Hall, M., Andrasko, K., Ruiz, F., Marzoli, W., Guerrero, G., Masera, O., Dushku, A., DeJong, B., Cornell, J., 2007. Baselines for land-use change in the tropics: application to avoided deforestation projects. Mitigation and Adaptation Strategies for Global Change 2007 (12), 1001-1026.

Burkhard, G. and M. Fremerey, Eds. 2008. A matter of mutual survival - social organization of Forest Management in Central Sulawesi, Indonesia. Berlin, Lit.Verlag.

Chomitz, K. 2007. At Loggerheads? Agricultural Expansion, Poverty Reduction, and Environment in the Tropical Forests. The World Bank. (http://go.worldbank.org/TKGHE4IA30).

Dayal, V., 2006. A microeconometric analysis of household extraction of forest biomass goods in Ranthambhore National Park, India. Journal of Forest Economics 12 (2006), 145-163.

Duvel, G.H. and Stephanus, A.L. 2000. A comparison of economic and cultural incentives in the marketing of livestock in some districts of the northern communal areas of Namibia. Agrekon, 39 (4), 656-664.

Fisher, M., Shively, G.E., Buccola, S., 2005. Activity Choice, Labor Allocation, and Forest Use in Malawi. Land Economics 81 (4), 503-517.

Gibbs, H.K., Brown, S., O Niles, J., Foley, J.A., 2007. Monitoring and estimating tropical forest carbon stocks: making REDD a reality. Environmental Research Letters 2 (2007), 13pp.

Godoy, R., Wilkie, D., Overman, H., Cubas, A., Cubas, G., Demmer, J., McSweeney, K., Brokaw, N., 2000. Valuation of consumption and sale of forest goods from a Central American rain forest. Nature 406 (6), 62-63.

Godoy, R., Kirby, K., Wilkie, D., 2001. Tenure security, private time preference, and use of natural resources among lowland Bolivian Amerindians. Ecological Economics 38 (2001), 105-118.

Kaimowitz, D. Angelsen, A., 1998. Economic Models of Tropical Deforestation: A Review. Center for International Forestry Research, Bogor.

Kaimowitz, D, Thiele, G., Pacheco, P., 1999. The Effects of Structural Adjustment on Deforestation and Forest Degradation in Lowland Bolivia. World Development 27 (3), 505-520.

Linkie, M., Smith, R.J., Leader-Williams, N., 2004. Mapping and predicting deforestation patterns in the lowlands of Sumatra. Biodiversity and Conservation 13 (2004), 1809-1818.

Mladenoff, D.J., 2004. LANDIS and forest landscape models. Ecological Modelling 180 (2004), 7-19.

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Noorgard, R., 1994. Progress Betrayed, The Demise of Development and a Coevolutionary Revisioning of the Future, London.

Ostrom, E., 1990. Governing the Commons, the Evolution of Institutions of Collective Action. Cambride.

Ostrom, E., Harini, N., 2008. Linking Forests, Trees and People, From the Air, on the Ground, and in the Lab, Indiana, US.

Parker, C., Mitchell, A., Trivedi, M., Mardas, N., 2008. The Little REDD Book: A guide to governmental and non-governmental proposals for reducing emissions from deforestation and degradation. Global Canopy Foundation

Pülzl, H. and Treib, O., 2007. Policy Implementation. Handbook of public policy analysis. F. Fischer, G. J. Miller and M. S. Sidney. Boca Raton, Fla. [u.a.], CRC Press.

Rametsteiner, E., Weiss, G., and Kubeczko, K., 2005. Innovation and Entrepreneurship in Forestry in Central Europe. Leiden, Brill.

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Scharpf, F. W., 1997. Games Real Actors Play. Actor Centered Institutionalism in Policy Research. Boulder, Westview.

Schophaus, M., Schön, S. and Dienel, H.-L., Eds., 2004. Transdisziplinäres Kooperationsmanagement. Neue Wege in der Zusammenarbeit zwischen Wissenschaft und Gesellschaft. München, oekom-Verlag.

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van der Werf, G.R., Morton, D. C., DeFries, R. S., Olivier, J. G. J., Kasibhatla, P. S., Jackson, R. B., Collatz, G. J. and Randerson, J. T., 2009. CO2 emissions from forest loss. Nature Geoscience, 2, 737–738.

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Weiss, G., Ollonqvist, P., Rametsteiner, E. and Slee, B., 2010. Summary results and conclusions. Policy Integration and Coordination: the Case of Innovation and the Forest Sector in Europe. E. Rametsteiner, G. Weiss, P. Ollonqvist and B. Slee. Brussels, OPOCE.

Weiss, G. and Rametsteiner, E., 2005. "The Role of Innovation Systems in Non-Timber Forest Products and Services Development in Central Europe." Economic Studies XIV(1): 23-36.

Yiridoe, J.K., Nanang, D.M., 2001. An Econometric Analysis of the Causes of Tropical Deforestation: Ghana. Paper presented at the American Agricultural Economics Association Conference, August 5-8, 2001, Chicago, IL.

Zikri, M., 2009. An Econometric Model for Deforestation in Indonesia. Center for Economics and Development Studies, Department of Economics, Padjadjaran University, Jalan, Indonesia.

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CVs of the applicants

(A) Institute of Forest, Environment and Natural Resource Policy, BOKU University Dr. Gerhard Weiss works as senior researcher at the Institute of Forest, Environment and Natural Resource Policy, University of Natural Resources and Life Sciences, Vienna. Since 2009, he is leading Work Area 1 of the European Forest Institute Central-East European Regional Office (EFICEEC). Since 2009, he is also the Chair of the European COST Action E51 “Integrating Innovation and Development Policies in the Forest Sector” which deals with new market opportunities of the forest sector, including carbon sequestration. He is specialised in the fields of national and international forest policy, as well as in innovation research. His specific experience lies in sustainable land use and climate change and in the development and marketing of forest ecosystem services such as rural tourism, bio-energy and carbon sequestration. G. Weiss has worked in and has been leading numerous related national and international research and consultancy projects and has developed and is maintaining an extensive data base of innovation projects in forestry and the forest sector. He has acquired specific competence in coordinating international and interdisciplinary research projects and networks. Dominik Schmitz finalised his environmental science study at University Graz. In 2006 he wrote his Master Thesis at “Hamburg institute of international economics” and investigated the “Sustainable Development impact of CDM hydropower plants”. His research was supervised by Axel Michaelowa PhD. Since 2007 he is working as international consultant and has more than 5 years experience in international climate policy and the carbon market. Mr. Schmitz has a broad experience of identifying and developing carbon projects (JI, CDM and VER market). He is familiar with writing Project Design Documents (PDD), performing and coordinating project validation and UNFCCC registration. Besides, he has experience in supporting of the marketing and selling of different types of carbon certificates (CERs, ERUs and VCUs). In 2010 he is participating in the course “Accounting for Forest Inventories”, developed by World Resource Institute. Mr. Schmitz is currently involved in different carbon projects of Austrian Federal Forests such as the calculation of the company’s own carbon sinks and emissions. Filip Aggestam works as researcher at the Institute of Forest, Environment and Natural Resource Policy, University of Natural Resources and Life Sciences, Vienna (BOKU). He is also working for European Forest Institute Central-East European Regional Office (EFICEEC). In addition to his work as a researcher for EIFCEEC, he is presently also completing a PhD at BOKU in Environmental Engineering, a project which focus on transboundary water resource management and decision support systems (related to decision-making and stakeholder participation). Coming from a multi-disciplinary background having a background in biology, psychology and environmental management, his expertise includes research and policy works in the environmental sector, sustainable indicator development and impact assessments, as well as, monitoring and evaluation. He is specialised in the fields of stakeholder participation, national and international forest policy, as well as, in innovation research. Maria Geitzenauer works as a PhD student at Institute of Forest, Environment and Natural Resource Policy, University of Natural Resources and Life Sciences, Vienna (BOKU) as part of the international and interdisciplinary research project “Beech forests for the future”. In this project, her research topics are market based instruments for biodiversity services and payment for ecosystem services. Mrs. Geitzenauer received her Master’s Degree in Agricultural Economics at the University of Natural Resources and Life Sciences, Vienna in 1999. After her studies, Mrs. Geitzenauer contributed to an international research project on “Innovative training methods for leaders”. From 2000 onwards, she worked in two different programmes in the development cooperation in Africa. In total, she spent 7 years working in Africa. Through this work, she acquired competencies in the following areas: value chain concept; certification schemes (organic fruits); strategic planning and implementation of programme activities in Africa; collaboration with ministries and governmental institutions as well as the private sector in Africa (small scale farmers, food processing industries, exporters, local traders, banks); and organizational development.

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MSc. Saana Tykkä works as a researcher in European Forest Institute Central-East European Regional Office (EFICEEC) at the Institute of Forest, Environment and Natural Resource Policy, University of Natural Resources and Applied Life Sciences, Vienna. She has graduated from University of Helsinki in 2008, majoring in political history. In addition, she holds a bachelor’s degree in Business Administration. In her work she focuses on the forest sector and innovation policies. Her particular interests lie in the development of the forest sector and the interrelationship between the society and the forest sector. Relevant Publications: Weiss, G, Pl Ollonqvist, D. Pettenella and B. Slee (Eds., forthcoming 2011): Innovation in

Forestry: Territorial and Value Chain Relationships. CABI. Walingford, 300 p. (book) Rametsteiner, E., Weiss, G., Kubeczko, K. (2005) Innovation and Entrepreneurship in Forestry in

Central Europe. European Forest Institute Research Report 19. Brill, 176 p. (book) Rametsteiner, E., Weiss, G., Ollonqvist, P. and Slee, B. (eds., 2010) Policy Integration and

Coordination: the Case of Innovation and the Forest Sector in Europe, OPOCE, Brussels, 198 p. (book)

Aggestam, F. & Hodge, S. (2011) “A critic of stakeholder participation and the decision-making processes affecting the design and implementation of trans-boundary water governance projects bordering vulnerable/high risk states”. In Miller, S. & Rivera, J.D. (Eds.) “Comparative Emergency Management: Examining Global and Regional Responses to Disasters”. Auerbach Publications (In press).

Mavsar, R., S. Ramcilovic, M. Palahi, G. Weiss, E. Rametsteiner, S. Tykkä, R. v. Apeldoorn, J. Vreke, M. v. Wijk and G. Janse (2008): Study on the Development and Marketing of Non-Market Forest Products and Services (FORVALUE) . Study Report for DG AGRI, Study Contract No. 30-CE-0162979/00-21., 127, EC, Brussels (book)

Gerhard Weiss, Suzanne Martin, Anne Matilainen, Birger Vennesland, Carmen Nastase, Erlend Nybakk and Laura Bouriaud . (2007) Innovation Processes in Forest-related Recreation Services: The Role of Public and Private Resources in Different Institutional Backgrounds. Small-scale Forestry, 6 (4), 423-442; ISSN 1873-7617

Dominik Schmitz (2006): Developing a Methodology for Assessing the Sustainable Development Impact of Small Scale CDM Hydropower Projects, HWWA-REPORT 267 http://www.hwwa.de/Forschung/Publikationen/Report/2006.htm

Rametsteiner, Ewald and Gerhard Weiss (2006): Assessing policies from a systems perspective – experiences with applied innovation systems analysis and implications for policy evaluation. In: Forest Policy and Economics 8/5, 564-576.

Kubeczko, Klaus, Ewald Rametsteiner and Gerhard Weiss (2006): The Role of Sectoral and Regional Innovation Systems in Supporting Innovations in Forestry. In: Forest Policy and Economics 8/7, 704-715

Martin Burian/ Dominik Schmitz (2005): Der Clean Development Mechanism und die Millennium Development Goals, SERI Vienna, http://www.nachhaltigkeit.at/reportagen.php3?id=11

Weiss, Gerhard and Ewald Rametsteiner (2005): The Role of Innovation Systems in Non-Timber Forest Products and Services Development in Central Europe. In: Economic Studies, vol. XIV, 2005, 1: 23-36.

(P1) Institute for Transport Studies, University of Natural Resources and Applied Life Sciences, Vienna (BOKU-ITS)

Gerd Sammer, o.Univ.Prof. Dipl.-Ing. Dr.techn. holds the master degree in civil engineering and the doctor degree of technical sciences at the Technical University Graz. He is university professor for transport planning and head of the Institute for Transport Studies at the University Bodenkultur Vienna. He is an expert in transportation analysis, forecast, planning and evaluation techniques for urban, regional and interurban transport problems, cost-benefit-analysis, highway and railway engineering, traffic capacity technique, research for behavioural modelling and mode choice.

Reinhard Hössinger, Ing. Mag. Dr.nat. holds a degree of biology at the University of Vienna and a doctor degree of natural sciences at the University of Natural Resources and Applied Life Sciences Vienna (BOKU). Since 2000 he is a research assistant at the Institute for Transport Studies of the BOKU. Since 2005 he is a partner and consultant at meditative solutions. He experienced empirical

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surveys regarding transport issues, as well as statistical analyses using advanced multivariate procedures such as discrete choice modelling and structural equation modelling. He was and still is involved in several research projects at the national and international level.

Oliver Roider, Dipl. Ing. holds a master degree in civil-engineering and water-management (1994, University Bodenkultur Vienna). Since 1996 he is researcher at the Institute for Transport Studies at the University Bodenkultur Vienna. Mr. Roider is experienced in transport studies, travel behaviour surveys, mobility forecasting and transportation modelling, travel mode choice research, environmental impact assessment of transportation and public transport.

Wiebke Unbehaun, Dipl. Ing. holds a master degree of spatial planning at the University of Dortmund. Between 2002 and 2004 she worked as a scientific assistant at the University of Dortmund. Between 2004 and 2007 she was a scientific assistant and lecturer at the Institute of Landscape Development, Recreation and Conservation Planning at the University of Natural Resources and Applied Life Sciences Vienna (BOKU). Since 2006 she is a research assistant at the Institute for Transport Studies of the BOKU. Her scientific focus lies in the field of climate change impact research in tourism and recreation planning as well as in the field of mobility research and socioscientific survey and analysis techniques.

Relevant publications: Fürhacker, M., Staubmann, K., Lenz, K., Gaupp-Berghauser, R., Vorpernik, P., Wegener, S.

(2003): Trinkwasseraufbereitung (drinking water purification). In: in ARCEM - Austrian Research Cooperation on Endocrine Modulators. Endbericht, Umweltbundesamt GmbH (Federal Environment Agency Ltd), Vienna.

Hössinger, R., Sammer, G. (2003). Explaining attitudes and supporting changes of attitudes towards transport policy decisions of stakeholders, International Association for Travel Behaviour Research (IATBR): 10th International Conference on Travel Behaviour Research, 10th - 14th August 2003, Luzern.

Hössinger R., Berger W. J., Unbehaun W., Sammer G., Hutter M. (2009): VIVAT – Analyse des Handlungsspielraums zur Erhöhung der Verkehrssicherheit durch Optimierung von Information, Verkehrsüberwachung, Sanktionierung und sozialer Akzeptanz. Forschungsarbeiten aus dem Verkehrswesen (VIVAT – Scope of action to increase road safety through optimisation of information, traffic enforcement, punishment and attitudinal acceptance, Band 185, 271, BMVIT, Wien; ISBN: 987-3-902428-61-5

Hössinger, R. (2005). Wer sind die Akteure in der Verkehrsplanung, was sind ihre Motive und wie kann man sie für nachhaltige Verkehrslösungen gewinnen? (Who are the stakeholders in transport planning, what are their motives and how to gain support for sustainable transport solutions?) In: Institut für Stadtbauwesen, RWTH Aachen: AMUS 2005, 25th - 26th July 2005, Aachen 79, Aachen.

Sammer, G. (2009). Identifying and Reconciling the Data Needs of Public Transit Planning, Marketing and Performance Measurement. In: Bonnel, P., Lee-Gosselin, M., Zmud, J. And Madre, J.-L. (eds.): Transport Survey Methods – Keeping Up With a Changing World, 321 – 348, Emerald, UK.

Sammer, G. and Hössinger, R. (2008). Level of Knowledge and Awareness about Choice Alternatives - A Missing Link of Stated Response Surveys? A Hypothesis. Paper presented at the ISCTSC Conference, Annecy, France, May 25th - 31st, 2008.

Sammer, G. (2008). Klimaschutzmaßnahmen für Verkehr - Nein danke?!. (climate protection measures in transport – no thanks?!), Straßenverkehrstechnik 1 (1).

Sammer, G. (2007). Eine klimaverträgliche Verkehrspolitik ist machbar (A climate friendly transport policy is feasible). Die Presse, vom 21.06.2007. Vienna.

Sammer G. and Hössinger, R. (2008). Level of Knowledge and Awareness about Choice Alternatives - A Missing Link of Stated Response Surveys? - A Hypothesis . International Steering Committee for Travel Survey Conferences; Workshop B3: Evaluating Behaviour in the Context of Interest in Environmental Sustainability, 25th – 31st May 2008, Annecy.

Sammer, G., Meschik, M., Hanzl, S. (2001): PORTAL - Policy Formulation and Implementation.. Research Report. Funded by the European Commission, 5th Framework Programme, Competitive and Susatinable Growth. Institut für Verkehrswesen, Bericht 08/2001, Universität für Bodenkultur Wien

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(P2) Center for Global Change and sustainability, BOKU University Maria Miguel Ribeiro completed her PhD in 2008 at the University of Natural Resources and Applied Life Sciences of Vienna in the field of commercialization of forest products in Laos. She acquired training in facilitating (participatory) processes and in the use of qualitative methods such as causal and cognitive mapping. In 2003, she completed a Master in Management at Vrije University in Brussels (Belgium) and in 2001 graduated in Agrarian Sciences Engineering at the University of Porto (Portugal) and University of Wageningen (Netherlands). In 2003-2008 Maria worked on the trade of non-timber forest products at the International Center for Tropical Agriculture (CIAT) in Laos and in Colombia. During 2008 and 2010, Maria worked for the Ecologic Institute evaluating EU rural development programmes (WFD, rural development, biomass). Maria Miguel Ribeiro started working at the Center for Global Change and sustainability at BOKU in June 2010. Maria is engaged in research in the fields of action research and participatory processes. In recently, she has been working in a comparative analysis between institutional economics, embeddedness and domestication models to understand commercialisation of forest products. Relevant Publications: Ribeiro, M.M., Zwirner, W. (2009): “Applying participatory processes: Findings from a supply

chain analysis on the commercialisation of paper mulberry bark in Laos”. Systemic Practice and Action Research. 1094-429X

Ribeiro, M.M., Stoian, D., Vogl, C. R. (in press.): “Understanding commercialization of paper mulberry bark in Laos: Contributions from the theories of domestication, institutional economics and embeddedness”, Forest Policy and Economics

Ribeiro, M.M. (2009): “Learning from a participatory supply chain analysis: the case of paper mulberry bark in Laos. Easy-eco Conference Proceedings Stakeholder perspectives in Evaluation sustainable perspectives” 16-18 October 2009, CEU Business School, Budapest, Hungary

Ribeiro, M. , Losenno, C., Dworak, T., Massey, E., Swart, R., Benzie, M., Laaser, C. (2009): “Design of guidelines for the elaboration of Regional Climate Change Adaptations Strategies” Study for European Commission - DG Environment - Tender DG ENV. G.1/ETU/2008/0093r. Ecologic Institute, Vienna

Ribeiro, M. M., Darnhofer, I. (2007): “Understanding the supply chain of paper mulberry bark in Lao PDR using causal mapping” Project report, BOKU University, Vienna

Ribeiro, M.M. Forcoming. “Learning from a participatory supply chain analysis: the case of paper mulberry bark in Laos”. In series Evaluating Sustainable Development. Edward Elgar Publishing, UK

Ribeiro, M.M. (2009): “Modelling the factors influencing the commercialization of paper mulberry bark” BOKU Dissertation Series. Guthmann-Peterson publishers, Vienna

(P3) Austrian Federal Forests (OBf AG) Mr. Alexander Horst, MSc Tropical Forestry, Senior Forest Carbon Consultant of ÖBf AG, has about 20 years of professional experience in the provision of policy and technical advice for sustainable forest management as well as climate change mitigation and adaptation. He serves as A/R CDM desk expert for the UNFCCC secretariat and has in this function independently reviewed proposed carbon sequestration methodologies. Mr. Horst was involved in a number of feasibility studies related to forest carbon projects. From 2008 to 2009, he was the team leader for the feasibility study on a US$28 million Reduced Emissions from Deforestation and Degradation Program in Indonesia financed by the German Development Bank (KfW). The feasibility study supported the design of the Indonesian-German Forest and Climate Protection Programme which is a joint undertaking of German Financial and Technical Cooperation. The main objective of the study was to analyze the potential of different implementation options for REDD pilot demonstration activities. As a certified Kyoto Protocol auditor for land use, land use change and forestry (LULUCF) with TÜV-SÜD, he is highly familiar with all issues of carbon management and marketing, payment for environmental services and forest-related climate change. Mr. Horst has a profound, up-to-date knowledge of forest economics and finance. In 2008, he successfully completed a continued education programme in financial decision-making for forestry

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professionals and plantation managers at the Stellenbosch University, South Africa. Within ÖBf AG, he is responsible for climate change issues and represents ÖBf in the Climate Change Working Group of the European State Forest Association (EUSTAFOR). Early in his career, he worked as GIS and remote sensing analyst for the University of Berkeley, USA and lecturer in forest inventory for the University of Göttingen, Germany, and has thus a good professional understanding of remote sensing, GIS and forest monitoring. (P4) National Agrarian University (UNA), Nicaragua Benigno González R. has a PhD in Forest Sciences from the Agricultural University of Sweden (2000-2005) with specialization in Tropical Dry Forest Management. Recovery of Degraded Areas of the Dry Tropics of Nicaragua. He is a Professor at the Faculty of Natural Resources and Environment in UNA. Professor since 1988. González lectures: dasometry, Forest Inventory, Forest Management and forest research Methodology. He is also the coordinator of the Master in Management and Conservation of Natural Resources. González worked as technical Assistant Forest Management Program. Nicaraguan Institute of Natural Resources and the Environment (IRENA) and was a member of the technical team to assess the damage from Hurricane Mitch in San Dionisio, Matagalpa, Nicaragua. Reynaldo Bismarck Mendoza Corrales works at the National agrarian University of Nicaragua as a docent and principal researcher for soil quality component at the watershed UNA-CARE-PIMCHAS project. In 2006, he completed MSc in Natural Resources in Nebraska-Lincoln University (US) and he graduated as Agrarian engineer. He works on soil and water conservation using participatory methods. Reynaldo has been involved on national and regional research projects such as CARE International, USDA Collaborative Research Support Program, PASOLAC, CIAT, South West GTZ project, Mayoralties of Tipitapa, La Dalia, Nandaime, San Juan del Sur, Belén, and Santa Teresa, and regional studies as member of the Integrate Soil Management Consortium (MIS). Since 2000 he is involved with land survey at municipalities study in the south region of Nicaragua, which included technician and farmer training. Relevant Publications:

Castro, G., Tigabu, M., González Rivas, b., Oden, P.C. (2009): Natural regeneration dynamics of

three dry deciduous forest species in Chacocente Wildlife Reserve, Nicaragua. Journal of Forestry research (2009) 20 (1): 1- 6

Castro, G., Tigabu, M., Gonzàlez Rivas, b., Oden, P.C. (2009): A chronosequence analysis of forest recovery on abandoned agricultural fields in Nicaragua. Journal of Forestry Research (2009) 20 (3): 213 - 222

Gonzàlez-Rivas, B., Tigabu, M:, Castro, G., Oden, P. C. (2009): Soil seed bank assembly following secondary succession on abandoned agricultural fields in Nicaragua. Journal of Forestry Research (2009) 20 (4): 349 - 354

Gonzàlez-Rivas, B., Tigabu, M:, Castro, G., Oden, P. c. (2009): Seed germination and seedling establishment of Neotropical dry forest species in response to temperature and light conditions. Journal of Forestry Research (2009) 20 (2): 99 - 104

R. B. Mendoza, T. G. Franti, J. W. Doran, T. 0. Powers and C. W. Zanner. (2008): Tillage Effects on Soil Quality Indicators and Nematode Abundance in Loessaial Soil under Long-Term No-Till Production. Communications in Soil Science and Plant Analysis. J. 39:2169-2190.

Gonzàlez, B; Tigabu, M; Gerhardt, K; Castro, G; Oden, P, C. (2006): Species Composition, Diversity and Local uses of tropical dry deciduous and gallery forests in Nicaragua. Biodiversity and Conservation 15: 1509 – 1527

Castro, G. Nygard, R. Gonzàlez, B. Oden, P C. (2005): Stand dynamics and basal area change in a tropical dry forest reserve in Nicaragua. Forest Ecology and Management. 208. Pág. 63-75

R. B. Mendoza. (2002): Hedgerow and their effects on crop productivity and soil loss induced by water and tillage erosion on small runoff plots in the El Pital watershed, Nicaragua. Soil Management C.R.S.P. Technical bulletin No. SM CRSP 2002-01

R. B. Mendoza. (1999) : Planificación Participativa de Fincas, En 6 microcuencas del rio Calico, San Dionisio, Matagalpa. Revista Centroamericana LADERAS. No.6 Managua, Nicaragua.

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R. B. Mendoza. (1996): Reporte de investigación 94 - 96. Proyecto agroforestal CARE-El Pital-UNA. Evaluación de prácticas agroforestales sobre la producción de granos básico en parcelas de escurrimiento. Universidad Nacional Agraria, Managua, Nicaragua.

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1. Certificates of Registration, annual accounts of the last 3 years (ONLY for enterprises)

Austrian Federal Forests, Certificates of Registration, annual accounts of the last 3 years (only for private companies)

P3 Certificate of Registration

Annual accounts

Year: 2009 Year: 2008 Year: 2007

Enclosure no. 2

Enclosure no. 3

Enclosure no. 3

Enclosure no. 3

Annual turnover 220.434.202 271.457.605 279.147.524

Annual cash flow 3.974.344 14.408.701 22.048.093

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5 Information on Exclusion of Evaluators

I request evaluator / enterprise / organisation (title, name, first name, address, institution, if applicable) to be excluded for the following reason: Enterprise /organisation: Title Name First name Address

Austrian Federal Ministry of Agriculture, Forestry, Environment and Water Management Stubenring 1 A-1012 Vienna Austria

Vienna, 9th September 2010 Letter of Intent I confirm my interest to join the Advisory Panel for the planned project “Integrated Assessment of Potential Options to Reduce Emissions from Deforestation and forest degradation“. I am prepared to provide the following advice if the project obtains funding:

• Give feedback during the first Advisory Board meeting making suggestions on how to better implement the research project

• If relevant, support the project with the selection of case study areas in Nicaragua • Inform project partners of interesting developments of REDD+ policy such as new

REDD+ policies resulting from ongoing climate negotiations • Comment on a survey questionnaire that will be used to collect information about

subjective rational of local decision makers with regard to land-use • Be present in Advisory Board meetings and provide feedback on the model results

regarding expectations and implications in view to policy options in local implementation of REDD+

Yours sincerely ________________ Jesus Garcia Latorre (due to conference visit Mr. Latorre was not able to send the LOI in time. The LOI will be submitted to Klima&Energiefond after his return 17th September 2010).

(14/09/2010) Saana Tykkä - VS: Re: Letter of intent TREDD Page 1

From: "Jussi Viitanen" <[email protected]>To: Saana Tykkä<[email protected]>CC: <[email protected]>Date: 14/09/2010 14:26Subject: VS: Re: Letter of intent TREDD

Dear Project Leader,

We, the European Forest Institute, are interested in the project confirm our participation in the Advisory Board of the project: Integrated Assessment of Potential and Options to Reduce Emissions from Deforestation and Forest Degradation.

Kind regards,Jussi Viitanen

--- alkuperäinen viesti ---Lähettäjä: Saana Tykkä <[email protected]>Aihe: Re: Letter of intent TREDDPäivämäärä: 14. syyskuuta 2010Aika: 11:27:03

(14.09.2010) Maria Miguel Ribeiro - Re: AW: Antw: Re: Project proposal ACRP Page 1

Von: "Rametsteiner, Ewald (FOEP)" <[email protected]>An: "'[email protected]'" <[email protected]>CC: "'[email protected]'" <[email protected]>, "...Datum: 9/14/2010 2:30 Betreff: Re: AW: Antw: Re: Project proposal ACRP

Dear Gerhard, In order for FAO to formally express its interest and/or intention it needs a formal decision of the Forestry Department, which cannot be given within a day. I am happy to expedite the formal process so that a decision is taken within next week if useful at this stage. Otherwise please indicate interest of FAO with a formal decision on a LoI pending and to be submitted.Best regardsEwald

----- Original Message -----From: Gerhard Weiß <[email protected]>To: Rametsteiner, Ewald (FOEP)Cc: [email protected] <[email protected]>; Maria Miguel Ribeiro <[email protected]>Sent: Tue Sep 14 10:00:54 2010Subject: AW: Antw: Re: Project proposal ACRP

** High Priority **

Dear Ewald,

we are happy that you and FAO are interested in the project. Ifpossible, please write an e-mail to us (cc to all from above) indicatingthat you would be interested to or that you intend to take part in theAdvisory Board of our project (Integrated Assessment of Potential andOptions to Reduce Emissions from Deforestation and Forest Degradation),subject to official approval by your head.

With many thanks!

Gerhard

--

---Gerhard WeissEFICEECEuropean Forest Institute Central-East European Regional Officec/o Institute of Forest, Environmental and Natural Resource Policy, Department of Economics and Social Sciences, University of Natural Resources and Life Sciences, Vienna (BOKU)Feistmantelstraße 4A-1180 Vienna, AustriaTel: +43-1-47654-4405Fax: +43-1-47654-4417Email: [email protected] http://www.efi-innoforce.org --->>> "Rametsteiner, Ewald (FOEP)" <[email protected]> schriebam 13.09.2010um 22:52 in Nachricht<[email protected]>:

ÖBf company registration and balance sheet

Grundlage dieses Auszuges ist das Hauptbuch ergänzt um Daten aus der Urkunden- sammlung. Letzte Eintragung am 31.03.2010 mit der Eintragungsnummer 29 zuständiges Gericht Landesgericht St. Pölten FIRMA 1 Österreichische Bundesforste AG RECHTSFORM 1 Aktiengesellschaft SITZ in 11 politischer Gemeinde Purkersdorf GESCHÄFTSANSCHRIFT 11 Pummergasse 10-12 3002 Purkersdorf GESCHÄFTSZWEIG 1 Forstwirtschaft KAPITAL 17 EUR 150.000.000 STICHTAG für JAHRESABSCHLUSS 1 31. Dezember JAHRESABSCHLUSS (zuletzt eingetragen; weitere siehe Historie) 27 zum 31.12.2008 eingereicht am 25.05.2009 KONZERNABSCHLUSS (zuletzt eingetragen; weitere siehe Historie) 27 zum 31.12.2008 eingereicht am 25.05.2009 VERTRETUNGSBEFUGNIS 1 Die Gesellschaft wird durch zwei Vorstandsmitglieder gemeinsam oder durch eines von ihnen gemeinsam mit einem Prokuristen vertreten. SONSTIGE BESTIMMUNGEN 1 Der Vorstand besteht ab 28.2.1997 aus 2 Personen. ART DER BEKANNTMACHUNG 1 Die Bekanntmachungen der Gesellschaft erfolgen im Amtsblatt zur Wiener Zeitung. 1 Satzung vom 30.12.1996 001 11 Hauptversammlungsbeschluss vom 07.05.2002 002 Neufassung der Satzung. 12 Satzung mit Hauptversammlungsbeschluss vom 07.05.2002 003 gemäß 1. Euro-JuBeG angepasst.

Stichtag 12.8.2010 Auszug mit aktuellen Daten FN 154148 p

Page 1 of 3Firmenbuchauszug

12.08.2010http://dataweb.telekom.at/cgi-bin/nph-pro/FDBN/fbw/bin/sucgi3?HRD3

17 Hauptversammlungsbeschluss vom 13.01.2005 004 Neufassung der Satzung samt Kapitalerhöhung um EUR 135.465.433,17 auf EUR 150.000.000,-- unter Heranziehung von Gesellschaftsmitteln. 18 Hauptversammlungsbeschluss vom 18.05.2005 005 19 Hauptversammlungsbeschluss vom 19.07.2005 006 VORSTAND N Dipl.Ing.Dr. Georg Erlacher, geb. 30.01.1959 8 vertritt seit 01.03.2001 gemeinsam mit einem zweiten Vorstandsmitglied oder einem Prokuristen Y Mag. Georg Schöppl, geb. 03.08.1966 22 vertritt seit 15.04.2007 gemeinsam mit einem weiteren Vorstandsmitglied oder einem Prokuristen PROKURIST Q Mag.Dr. Ehrenfried Werderits, geb. 13.04.1960 15 vertritt seit 29.06.2004 gemeinsam mit einem Vorstandsmitglied ALLEINAKTIONÄR S Republik Österreich vertreten durch das Bundesministerium für Land- und Forstwirtschaft, Umwelt und Wasserwirtschaft 18 eingetragen AUFSICHTSRAT E Dr. Christian Kuhn, geb. 03.02.1954 1 Stellvertreter G DI Stefan Schenker, geb. 08.11.1946 1 Vorsitzender V Martin Schönsgibl, geb. 21.07.1966 19 Mitglied W Josef Reisenbichler, geb. 08.03.1959 19 Mitglied Z Dipl.-Ing. Martin Burjan, geb. 11.03.1965 26 Mitglied AA Hans Georg Kramer, geb. 05.10.1973 29 Stellvertreter --- PERSONEN ---------------------------------------------------------------- 1 E Dr. Christian Kuhn, geb. 03.02.1954 11 G DI Stefan Schenker, geb. 08.11.1946 8 N Dipl.Ing.Dr. Georg Erlacher, geb. 30.01.1959 18 Pummergasse 10-12 3002 Purkersdorf 15 Q Mag.Dr. Ehrenfried Werderits, geb. 13.04.1960 15 Pummergasse 10-12 3002 Purkersdorf 18 S Republik Österreich vertreten durch das Bundesministerium für Land- und Forstwirtschaft, Umwelt und Wasserwirtschaft 18 Stubenring 1 1010 Wien



19 V Martin Schönsgibl, geb. 21.07.1966 19 W Josef Reisenbichler, geb. 08.03.1959 22 Y Mag. Georg Schöppl, geb. 03.08.1966 22 Tivoligasse 28 1120 Wien 26 Z Dipl.-Ing. Martin Burjan, geb. 11.03.1965 28 AA Hans Georg Kramer, geb. 05.10.1973 28 p.A. Bundesministerium für Finanzen Hintere Zollamtstraße 2b 1030 Wien -------------------- VOLLZUGSÜBERSICHT --------------------------------------- Handelsgericht Wien 1 eingetragen am 22.01.1997 Geschäftsfall 74 Fr 350/97 k Antrag auf Neueintragung einer Firma eingelangt am 08.01.1997 8 eingetragen am 27.03.2001 Geschäftsfall 74 Fr 3079/01 b Antrag auf Änderung eingelangt am 01.03.2001 Landesgericht St. Pölten 11 eingetragen am 28.05.2002 Geschäftsfall 28 Fr 2600/02 h Antrag auf Sitzverlegung eingelangt am 24.05.2002 12 eingetragen am 27.06.2002 Geschäftsfall 28 Fr 2611/02 z amtswegige Berichtigung 15 eingetragen am 20.08.2004 Geschäftsfall 18 Fr 2285/04 p Antrag auf Änderung eingelangt am 12.08.2004 17 eingetragen am 09.02.2005 Geschäftsfall 18 Fr 207/05 t Antrag auf Änderung eingelangt am 25.01.2005 18 eingetragen am 04.08.2005 Geschäftsfall 18 Fr 2082/05 z Antrag auf Änderung eingelangt am 30.06.2005 19 eingetragen am 06.09.2005 Geschäftsfall 18 Fr 2581/05 h Antrag auf Änderung eingelangt am 30.08.2005 22 eingetragen am 17.04.2007 Geschäftsfall 18 Fr 844/07 x Antrag auf Änderung eingelangt am 27.03.2007 26 eingetragen am 11.03.2009 Geschäftsfall 18 Fr 597/09 a Antrag auf Änderung eingelangt am 09.03.2009 27 eingetragen am 13.08.2009 Geschäftsfall 18 Fr 1606/09 i Antrag auf Änderung eingelangt am 25.05.2009 28 eingetragen am 18.11.2009 Geschäftsfall 18 Fr 3770/09 t Antrag auf Änderung eingelangt am 17.11.2009 29 eingetragen am 31.03.2010 Geschäftsfall 18 Fr 829/10 a Antrag auf Änderung eingelangt am 19.03.2010 -------------- INFORMATION DER ÖSTERREICHISCHEN NATIONALBANK ---------------- zum 12.08.2010 gültige Identnummer: 3512231 erstellt über Verrechnungsstelle TELEKOM ******************************* HA021 Gerichtsgebühr: EUR 2,40 ****** 12.8.2010 11:16:24,460 16056227 ** ZEILEN: 100 Entgelt der Verrechnungsstelle TELEKOM: EUR 0,40 Gesamtentgelt: EUR 2,80 zuzüglich 20% USt.

